[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR238]
[Page 535-610]
TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 238--PASSENGER EQUIPMENT SAFETY STANDARDS
Subpart A--General
Sec.
238.1 Purpose and scope.
238.3 Applicability.
238.5 Definitions.
238.7 Waivers.
238.9 Responsibility for compliance.
238.11 Penalties.
238.13 Preemptive effect.
238.15 Movement of passenger equipment with power brake defects.
238.17 Movement of passenger equipment with other than power brake
defects.
238.19 Reporting and tracking of repairs to defective passenger
equipment.
238.21 Special approval procedure.
238.23 Information collection.
Subpart B--Safety Planning and General Requirements
238.101 Scope.
238.103 Fire safety.
238.105 Train electronic hardware and software safety.
238.107 Inspection, testing, and maintenance plan.
238.109 Training, qualification, and designation program.
238.111 Pre-revenue service acceptance testing plan.
238.113 Emergency window exits.
238.115 Emergency lighting.
238.117 Protection against personal injury.
238.119 Rim-stamped straight-plate wheels.
Subpart C--Specific Requirements for Tier I Passenger Equipment
238.201 Scope/alternative compliance.
238.203 Static end strength.
238.205 Anti-climbing mechanism.
238.207 Link between coupling mechanism and car body.
238.209 Forward-facing end structure of locomotives.
238.211 Collision posts.
238.213 Corner posts.
238.215 Rollover strength.
238.217 Side structure.
238.219 Truck-to-car-body attachment.
238.221 Glazing.
238.223 Locomotive fuel tanks.
238.225 Electrical system.
238.227 Suspension system.
238.229 Safety appliances.
238.231 Brake system.
238.233 Interior fittings and surfaces.
238.235 Doors.
238.237 Automated monitoring.
Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I
Passenger Equipment
238.301 Scope.
238.303 Exterior calendar day mechanical inspection of passenger
equipment.
238.305 Interior calendar day mechanical inspection of passenger cars.
238.307 Periodic mechanical inspection of passenger cars and unpowered
vehicles used in passenger trains.
238.309 Periodic brake equipment maintenance.
238.311 Single car test.
238.313 Class I brake test.
238.315 Class IA brake test.
238.317 Class II brake test.
238.319 Running brake test.
Subpart E--Specific Requirements for Tier II Passenger Equipment
238.401 Scope.
238.403 Crash energy management.
238.405 Longitudinal static compressive strength.
238.407 Anti-climbing mechanism.
238.409 Forward end structures of power car cabs.
238.411 Rear end structures of power car cabs.
238.413 End structures of trailer cars.
238.415 Rollover strength.
238.417 Side loads.
238.419 Truck-to-car-body and truck component attachment.
238.421 Glazing.
238.423 Fuel tanks.
238.425 Electrical system.
238.427 Suspension system.
238.429 Safety appliances.
238.431 Brake system.
238.433 Draft system.
238.435 Interior fittings and surfaces.
238.437 Emergency communication.
238.439 Doors.
238.441 Emergency roof entrance location.
238.443 Headlights.
238.445 Automated monitoring.
238.447 Train operator's controls and power car cab layout.
Figure 1 to Subpart E--Power Car Cab Forward End Structure Conceptual
Implementation
Figure 2 to Subpart E--Power Car Cab Rear End Structure Conceptual
Implementation
Figure 3 to Subpart E--Trailer Car End Structure Conceptual
Implementation
[[Page 536]]
Figure 4 to Subpart E--Trailer Car In-Board Vestibule End Structure
Conceptual Implementation
Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II
Passenger Equipment
238.501 Scope.
238.503 Inspection, testing, and maintenance requirements.
238.505 Program approval procedure.
Subpart G--Specific Safety Planning Requirements for Tier II Passenger
Equipment
238.601 Scope.
238.603 Safety planning requirements.
Appendix A to Part 238--Schedule of Civil Penalties
Appendix B--Test Methods and Performance Criteria for the Flammability
and Smoke Emission Characteristics of Materials Used in
Passenger Cars and Locomotive Cabs
Appendix C to Part 238--Suspension System Safety Performance Standards
Appendix D to Part 238--Requirements for External Fuel Tanks on Tier I
Locomotives
Appendix E to Part 238--General Principles of Reliability-Based
Maintenance Programs
Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303, 20306,
20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.
Source: 64 FR 25660, May 12, 1999, unless otherwise noted.
Subpart A--General
Sec. 238.1 Purpose and scope.
(a) The purpose of this part is to prevent collisions, derailments,
and other occurrences involving railroad passenger equipment that cause
injury or death to railroad employees, railroad passengers, or the
general public; and to mitigate the consequences of such occurrences to
the extent they cannot be prevented.
(b) This part prescribes minimum Federal safety standards for
railroad passenger equipment. This part does not restrict a railroad
from adopting and enforcing additional or more stringent requirements
not inconsistent with this part.
(c) Railroads to which this part applies shall be responsible for
compliance with all of the requirements contained in Secs. 238.15,
238.17, 238.19, 238.107, 238.109, and subpart D of this part effective
January 1, 2002.
(1) A railroad may request earlier application of the requirements
contained in Secs. 238.15, 238.17, 238.19, 238.107, 238.109, and subpart
D upon written notification to FRA's Associate Administrator for Safety.
Such a request shall indicate the railroad's readiness and ability to
comply with all of the provisions referenced in paragraph (c)
introductory text of this section.
(2) Except for paragraphs (b) and (c) of Sec. 238.309, a railroad
may specifically request earlier application of the maintenance and
testing provisions contained in Secs. 238.309 and 238.311
simultaneously. In order to request earlier application of these two
sections, the railroad shall indicate its readiness and ability to
comply with all of the provisions contained in both of those sections.
(3) Paragraphs (b) and (c) of Sec. 238.309 apply beginning September
9, 1999.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41305, July 3, 2000; 67
FR 19989, Apr. 23, 2002]
Sec. 238.3 Applicability.
(a) Except as provided in paragraph (c) of this section, this part
applies to all:
(1) Railroads that operate intercity or commuter passenger train
service on standard gage track which is part of the general railroad
system of transportation; and
(2) Railroads that provide commuter or other short-haul rail
passenger train service in a metropolitan or suburban area as described
by 49 U.S.C. 20102(1), including public authorities operating passenger
train service.
(b) Railroads that permit to be used or hauled on their lines
passenger equipment subject to this part, in violation of a power brake
provision of this part or a safety appliance provision of this part, are
subject to the power brake and safety appliance provisions of this part
with respect to such operations.
(c) This part does not apply to:
(1) Rapid transit operations in an urban area that are not connected
to
[[Page 537]]
the general railroad system of transportation;
(2) A railroad that operates only on track inside an installation
that is not part of the general railroad system of transportation;
(3) Tourist, scenic, historic, or excursion operations, whether on
or off the general railroad system of transportation; or
(4) Circus trains.
Sec. 238.5 Definitions.
As used in this part--
AAR means the Association of American Railroads.
APTA means the American Public Transit Association.
Actuator means a device directly actuated by the movement of the
brake cylinder piston which provides an indication of the piston travel.
Administrator means the Administrator of the Federal Railroad
Administration or the Administrator's delegate.
Alerter means a device or system installed in the locomotive cab to
promote continuous, active locomotive engineer attentiveness by
monitoring select locomotive engineer-induced control activities. If
fluctuation of a monitored locomotive engineer-induced control activity
is not detected within a predetermined time, a sequence of audible and
visual alarms is activated so as to progressively prompt a response by
the locomotive engineer. Failure by the locomotive engineer to institute
a change of state in a monitored control, or acknowledge the alerter
alarm activity through a manual reset provision, results in a penalty
brake application that brings the locomotive or train to a stop.
Anti-climbing mechanism means the parts at the ends of adjoining
vehicles in a train that are designed to engage when subjected to large
buff loads to prevent the override of one vehicle by another.
Bind means restrict the intended movement of one or more brake
system components by obstruction, increased friction, or reduced
clearance.
Block of cars means one car or multiple cars in a solid unit coupled
together for the purpose of being added to, or removed from, a train as
a solid unit.
Brake, air or power brake means a combination of devices operated by
compressed air, arranged in a system, and controlled manually,
electrically, or pneumatically, by means of which the motion of a rail
car or locomotive is retarded or arrested.
Brake, disc means a retardation system used on some rail vehicles,
primarily passenger equipment, that utilizes flat metal discs as the
braking surface instead of the wheel tread.
Brake, dynamic means a train braking system whereby the kinetic
energy of a moving train is used to generate electric current at the
locomotive traction motors, which is then dissipated through banks of
resistor grids or back into the catenary or third rail system.
Brake, effective means a brake that is capable of producing its
required designed retarding force on the train. A brake is not effective
if its piston travel is in excess of the maximum prescribed limits. On
vehicles equipped with nominal 12-inch stroke brake cylinders, the brake
is not effective if its piston travel exceeds 10\1/2\ inches.
Brake indicator means a device, actuated by brake cylinder pressure,
which indicates whether brakes are applied or released.
Brake, inoperative means a primary brake that, for any reason, no
longer applies or releases as intended or is otherwise ineffective.
Brake, on-tread friction means a braking system that uses a brake
shoe that acts on the tread of the wheel to retard the vehicle.
Brake, parking or hand brake means a brake that can be applied and
released by hand to prevent movement of a stationary rail car or
locomotive.
Brake pipe means the system of piping (including branch pipes, angle
cocks, cutout cocks, dirt collectors, hoses, and hose couplings) used
for connecting locomotives and all rail cars for the passage of air to
control the locomotive and car brakes.
Brake, power means ``air brake'' as that term is defined in this
section.
[[Page 538]]
Brake, primary means those components of the train brake system
necessary to stop the train within the signal spacing distance without
thermal damage to friction braking surfaces.
Brake, secondary means those components of the train brake system
which develop supplemental brake retarding force that is not needed to
stop the train within signal spacing distances or to prevent thermal
damage to friction braking surfaces.
Brake shoes or pads aligned with tread or disc means that the
surface of the brake shoe or pad, respectively, engages the surface of
the wheel tread or disc, respectively, to prevent localized thermal
stress.
Braking system, blended means a braking system where the primary
brake and one or more secondary brakes are automatically combined to
stop the train. If the secondary brakes are unavailable, the blended
brake uses the primary brake alone to stop the train.
Calendar day means a time period running from one midnight to the
next midnight on a given date.
Class I brake test means a complete passenger train brake system
test and inspection (as further specified in Sec. 238.313) performed by
a qualified maintenance person to ensure that the air brake system is
100 percent effective.
Class IA brake test means a test and inspection (as further
specified in Sec. 238.315) performed by a qualified person of the air
brake system on each car in a passenger train to ensure that the brakes
apply and release on each car in the train in response to train line
commands.
Class II brake test means a test and inspection (as further
specified in Sec. 238.317) performed by a qualified person of brake pipe
integrity and continuity from the controlling locomotive to the rear
unit of a passenger train.
Collision posts means structural members of the end structures of a
vehicle that extend vertically from the underframe to which they are
securely attached and that provide protection to occupied compartments
from an object penetrating the vehicle during a collision.
Control valves means that part of the air brake equipment on each
rail car or locomotive that controls the charging, application, and
release of the air brakes, in response to train line commands.
Corner posts means structural members located at the intersection of
the front or rear surface with the side surface of a rail vehicle and
which extend vertically from the underframe to the roof. Corner posts
may be combined with collision posts to become part of the end
structure.
Crack means a fracture without complete separation into parts,
except that, in a casting, a shrinkage crack or hot tear that does not
significantly diminish the strength of the member is not a crack.
Crash energy management means an approach to the design of rail
passenger equipment which controls the dissipation of energy during a
collision to protect the occupied volumes from crushing and to limit the
decelerations on passengers and crewmembers in those volumes. This may
be accomplished by designing energy-absorbing structures of low strength
in the unoccupied volumes of a rail vehicle or passenger train to
collapse in a controlled manner, while providing higher structural
strength in the occupied volumes. Energy deflection can also be part of
a crash energy management approach. Crash energy management can be used
to help provide anti-climbing resistance and to reduce the risk of train
buckling during a collision.
Crash refuge means a volume with structural strength designed to
maximize the survivability of crewmembers stationed in the locomotive
cab during a collision.
Crewmember means a railroad employee called to perform service
covered by the Federal hours of service laws at 49 U.S.C. 21103 and
subject to the railroad's operating rules and program of operational
tests and inspections required in Sec. 217.9 and Sec. 217.11 of this
chapter.
Critical buckling stress means the minimum stress necessary to
initiate buckling of a structural member.
[[Page 539]]
Emergency brake application means an irretrievable brake application
resulting in the maximum retarding force available from the train brake
system.
Emergency window means that segment of a side-facing glazing panel
which has been designed to permit rapid and easy removal in an emergency
situation.
End structure means the main support structure projecting upward
from the underframe of a locomotive, passenger car, or other rail
vehicle. The end structure is securely attached to the underframe at
each end of a rail vehicle.
50th-percentile adult male means a person weighing 164 pounds (plus
or minus 3 pounds) and possessing the following dimensions: erect
sitting height: 35.7 inches (plus or minus 0.1 inch); hip breadth
(sitting): 14.7 inches (plus or minus 0.7 inch); hip circumference
(sitting): 42 inches; waist circumference (sitting): 32 inches (plus or
minus 0.6 inch); chest depth: 9.3 inches (plus or minus 0.2 inch); and
chest circumference: 37.4 inches (plus or minus 0.6 inch).
Foul means restrict the intended movement of one or more brake
system components because the component is snagged, entangled, or
twisted.
FRA means the Federal Railroad Administration.
Fuel tank, external means a fuel containment volume that extends
outside the car body structure of a locomotive.
Fuel tank, internal means a fuel containment volume that does not
extend outside the car body structure of a locomotive.
Full-height collision post, corner post, or side frame post means
any vertical framing member in the rail car body structure that spans
the distance between the underframe and the roof at the car body section
where the post is located. For collision posts located at the
approximate third points laterally of an end frame, the term ``full-
height'' applies to posts that extend and connect to supporting
structural members in the roof at the location of the posts, or to a
beam connected to the top of the end-frame and supported by the roof
rails (or anti-telescoping plate), or to both.
Full service application means a brake application which results in
a brake cylinder pressure at the service limiting valve setting or
equivalent.
Glazing, end-facing means a glazing panel located where a line
perpendicular to the exterior surface of the panel makes an angle of 50
degrees or less with the longitudinal center line of the rail vehicle in
which the panel is installed. A glazing panel that curves so as to meet
the definition for both side-facing and end-facing glazing is considered
end-facing glazing.
Glazing, exterior means a glazing panel that is an integral part of
the exterior skin of a rail vehicle and has a surface exposed to the
outside environment.
Glazing, side-facing means a glazing panel located where a line
perpendicular to the exterior surface of the panel makes an angle of
more than 50 degrees with the longitudinal center line of the rail
vehicle in which the panel is installed.
Handrails means safety appliances installed on either side of a rail
vehicle's exterior doors to assist passengers and crewmembers to safely
board and depart the vehicle.
Head end power means power generated on board the locomotive of a
passenger train used for purposes other than propelling the train, such
as cooking, heating, illumination, ventilation and air conditioning.
In passenger service/in revenue service means a train or passenger
equipment that is carrying, or available to carry, passengers.
Passengers need not have paid a fare in order for the equipment to be
considered in passenger or in revenue service.
In service, when used in connection with passenger equipment, means:
(1) Passenger equipment subject to this part that is in passenger or
revenue service in the United States; and
(2) All other passenger equipment subject to this part in the United
States, unless the passenger equipment:
(i) Is being handled in accordance with Secs. 238.15, 238.17,
238.305(d), or 238.503(f), as applicable;
(ii) Is in a repair shop or on a repair track;
[[Page 540]]
(iii) Is on a storage track and is not carrying passengers; or
(iv) Has been delivered in interchange but has not been accepted by
the receiving railroad.
Interior fitting means any component in the passenger compartment
which is mounted to the floor, ceiling, sidewalls, or end walls and
projects into the passenger compartment more than 25 mm (1 in.) from the
surface or surfaces to which it is mounted. Interior fittings do not
include side and end walls, floors, door pockets, or ceiling lining
materials, for example.
Lateral means the horizontal direction perpendicular to the
direction of travel.
Locomotive means a piece of on-track rail equipment, other than hi-
rail, specialized maintenance, or other similar equipment, which may
consist of one or more units operated from a single control stand with
one or more propelling motors designed for moving other passenger
equipment; with one or more propelling motors designed to transport
freight or passenger traffic, or both; or without propelling motors but
with one or more control stands. This term does not include a locomotive
propelled by steam power unless it is used to haul an intercity or
commuter passenger train. Nor does this term include a freight
locomotive when used to haul a passenger train due to failure of a
passenger locomotive.
Locomotive cab means the compartment or space on board a locomotive
where the control stand is located and which is normally occupied by the
engineer when the locomotive is operated.
Locomotive, cab car means rail rolling equipment intended to provide
transportation for members of the general public that is without
propelling motors but equipped with one or more control stands.
Locomotive, controlling means the locomotive from which the
locomotive engineer exercises control over the train.
Locomotive, MU means rail rolling equipment self-propelled by any
power source and intended to provide transportation for members of the
general public; however, this term does not include an MU locomotive
propelled by steam power unless it is used to haul an intercity or
commuter passenger train.
Longitudinal means in a direction parallel to the normal direction
of travel.
Luminescent material means material that absorbs light energy when
ambient levels of light are high and emits this stored energy when
ambient levels of light are low, making the material appear to glow in
the dark.
L/V ratio means the ratio of the lateral force that any wheel exerts
on an individual rail to the vertical force exerted by the same wheel on
the rail.
MIL-STD-882 means a military standard issued by the United States
Department of Defense to provide uniform requirements for developing and
implementing a system safety plan and program to identify and then
eliminate the hazards of a system or reduce the associated risk to an
acceptable level.
Mph means miles per hour.
95th-percentile adult male means, except as used in
Sec. 238.447(f)(2), a person weighing 215 pounds and possessing the
following dimensions: erect sitting height: 38 inches; hip breadth
(sitting): 16.5 inches; hip circumference (sitting): 47.2 inches; waist
circumference (sitting): 42.5 inches; chest depth: 10.5 inches; and
chest circumference 44.5 inches.
Occupied volume means the volume of a rail vehicle or passenger
train where passengers or crewmembers are normally located during
service operation, such as the operating cab and passenger seating and
sleeping areas. The entire width of a vehicle's end compartment that
contains a control stand is an occupied volume. A vestibule is typically
not considered occupied, except when it contains a control stand for use
as a control cab.
Ordered, as applied to acquisition of equipment, means that the
acquiring entity has given a notice to proceed to manufacture the
equipment that represents a firm financial commitment to compensate the
manufacturer for the contract price of the equipment or for damages if
the order is nullified. Equipment is not ordered if future exercise of a
contract option is required to place the remanufacturing process in
motion.
[[Page 541]]
Override means to climb over the normal coupling or side buffers and
linking mechanism and impact the end of the adjoining rail vehicle or
unit above the underframe.
Passenger car means rail rolling equipment intended to provide
transportation for members of the general public and includes a self-
propelled car designed to carry passengers, baggage, mail, or express.
This term includes a passenger coach, cab car, and an MU locomotive. In
the context of articulated equipment, ``passenger car'' means that
segment of the rail rolling equipment located between two trucks. This
term does not include a private car.
Passenger coach means rail rolling equipment intended to provide
transportation for members of the general public that is without
propelling motors and without a control stand.
Passenger equipment--means
(1) All powered and unpowered passenger cars, locomotives used to
haul a passenger car, and any other rail rolling equipment used in a
train with one or more passenger cars. Passenger equipment includes--
(i) A passenger coach,
(ii) A cab car,
(iii) A MU locomotive,
(iv) A locomotive not intended to provide transportation for a
member of the general public that is used to power a passenger train,
and
(v) Any non-self-propelled vehicle used in a passenger train,
including an express car, baggage car, mail car, freight car, or a
private car.
(2) In the context of articulated equipment, ``passenger equipment''
means a segment of rail rolling equipment located between two trucks
that is used in a train with one or more passenger cars. This term does
not include a freight locomotive when used to haul a passenger train due
to failure of a passenger locomotive.
Passenger station means a location designated in a railroad's
timetable where passengers are regularly scheduled to get on or off any
train.
Permanent deformation means the undergoing of a permanent change in
shape of a structural member of a rail vehicle.
Person means an entity of any type covered under 1 U.S.C. 1,
including but not limited to the following: a railroad; a manager,
supervisor, official, or other employee or agent of a railroad; any
owner, manufacturer, lessor, or lessee of railroad equipment, track, or
facilities; any independent contractor providing goods or services to a
railroad; and any employee of such owner, manufacturer, lessor, lessee,
or independent contractor.
Piston travel means the amount of linear movement of the air brake
hollow rod (or equivalent) or piston rod when forced outward by movement
of the piston in the brake cylinder or actuator and limited by the brake
shoes being forced against the wheel or disc.
Power car means a rail vehicle that propels a Tier II passenger
train or is the lead vehicle in a Tier II passenger train, or both.
Pre-revenue service acceptance testing plan means a document, as
further specified in Sec. 238.111, prepared by a railroad that explains
in detail how pre-revenue service tests of passenger equipment
demonstrate that the equipment meets Federal safety standards and the
railroad's own safety requirements.
Primary responsibility means the task that a person performs during
at least 50 percent of the time that the person is working. The totality
of the circumstances will be considered on a case-by-case basis in
circumstances where an individual does not spend 50 percent of his or
her workday engaged in any one readily identifiable type of activity.
Time spent supervising employees engaged in the functions of
troubleshooting, inspection, testing, maintenance, or repair of train
brake and mechanical components and systems covered by this part shall
be considered work which is generally consistent with the function of
troubleshooting of such systems and components for the purpose of the
definition of this term and the definition of ``Qualified Maintenance
Person.''
Private car means rail rolling equipment that is used only for
excursion, recreational, or private transportation purposes. A private
car is not a passenger car.
[[Page 542]]
Public highway-rail grade crossing means a location where a public
highway, road or street, including associated sidewalks or pathways,
crosses one or more active railroad tracks at grade.
Qualified maintenance person means a qualified person who has
received, as a part of the training, qualification, and designation
program required under Sec. 238.109, instruction and training that
includes ``hands-on'' experience (under appropriate supervision or
apprenticeship) in one or more of the following functions:
troubleshooting, inspection, testing, maintenance, or repair of the
specific train brake and other components and systems for which the
person is assigned responsibility. This person shall also possess a
current understanding of what is required to properly repair and
maintain the safety-critical brake or mechanical components for which
the person is assigned responsibility. Further, the qualified
maintenance person shall be a person whose primary responsibility
includes work generally consistent with the above-referenced functions
and is designated to:
(1) Conduct Class I brake tests under this part;
(2) Conduct exterior calendar day mechanical inspections on MU
locomotives or other passenger cars and unpowered vehicles under this
part; or
(3) Determine whether equipment not in compliance with this part may
be moved as required by Sec. 238.17.
Qualified person means a person who has received, as a part of the
training, qualification, and designation program required under
Sec. 238.109, instruction and training necessary to perform one or more
functions required under this part. The railroad is responsible for
determining that the person has the knowledge and skills necessary to
perform the required function for which the person is assigned
responsibility. The railroad determines the qualifications and
competencies for employees designated to perform various functions in
the manner set forth in this part. Although the rule uses the term
``qualified person'' to describe a person responsible for performing
various functions required under this part, a person may be deemed
qualified to perform some functions but not qualified to perform other
functions. For example, although a person may be deemed qualified to
perform the Class II brake test required by this part, that same person
may or may not be qualified to perform the Class IA brake test or
authorize the movement of defective equipment under this part. The
railroad will determine the required functions for which an individual
will be deemed a ``qualified person'' based upon the instruction and
training the individual has received pursuant to Sec. 238.109 on a
particular function.
Railroad means any form of nonhighway ground transportation that
runs on rails or electromagnetic guideways and any entity providing such
transportation, including--
(i) Commuter or other short-haul railroad passenger service in a
metropolitan or suburban area and commuter railroad service that was
operated by the Consolidated Rail Corporation on January 1, 1979; and
(ii) High speed ground transportation systems that connect
metropolitan areas, without regard to whether those systems use new
technologies not associated with traditional railroads; but does not
include rapid transit operations in an urban area that are not connected
to the general railroad system of transportation.
Refresher training means periodic retraining required by a railroad
for employees or contractors to remain qualified to perform specific
equipment inspection, testing, or maintenance functions.
Repair point means a location designated by a railroad where repairs
of the type necessary occur on a regular basis. A repair point has, or
should have, the facilities, tools, and personnel qualified to make the
necessary repairs. A repair point need not be staffed continuously.
Respond as intended means to produce the result that a device or
system is designed to produce.
Rollover strength means the strength provided to protect the
structural integrity of a rail vehicle in the event the vehicle leaves
the track and impacts the ground on its side or roof.
[[Page 543]]
Roof rail means the longitudinal structural member at the
intersection of the side wall and the roof sheathing.
Running brake test means a test (as further specified in
Sec. 238.319) performed by a qualified person of a train system or
component while the train is in motion to verify that the system or
component functions as intended.
Running gear defect means any condition not in compliance with this
part which involves a truck component, a draft system component, a
wheel, or a wheel component.
Safety appliance means an appliance required under 49 U.S.C. chapter
203, excluding power brakes. The term includes automatic couplers, hand
brakes, sill steps, handholds, handrails, or ladder treads made of steel
or a material of equal or greater mechanical strength used by the
traveling public or railroad employees that provide a means for safely
coupling, uncoupling, or ascending or descending passenger equipment.
Safety-critical means a component, system, or task that, if not
available, defective, not functioning, not functioning correctly, not
performed, or not performed correctly, increases the risk of damage to
passenger equipment or injury to a passenger, crewmember, or other
person.
Semi-permanently coupled means coupled by means of a drawbar or
other coupling mechanism that requires tools to perform the uncoupling
operation. Coupling and uncoupling of each semi-permanently coupled unit
in a train can be performed safely only while at a maintenance or shop
location where personnel can safely get under a unit or between units.
Semi-monocoque means a type of rail vehicle construction where the
shell or skin acts as a single unit with the supporting frame to resist
and transmit the loads acting on the rail vehicle.
Shear strength means the ability of a structural member to resist
forces or components of forces acting perpendicular to compression or
tension forces, or both, in the member.
Shock absorbent material means material designed to prevent or
mitigate injuries due to impact by yielding and absorbing much of the
energy of impact.
Side posts means main vertical structural elements in the sides of a
rail vehicle.
Side sill means that portion of the underframe or side at the bottom
of the rail vehicle side wall.
Single car test means a comprehensive test (as further specified in
Sec. 238.311) of the functioning of all critical brake system components
installed on an individual passenger car or unpowered vehicle, other
than a self-propelled passenger car, used or allowed to be used in a
passenger train.
Single car test device means a device capable of controlling the
application and release of the brakes on an individual passenger car or
an unpowered vehicle, other than a self-propelled passenger car, through
pneumatic or electrical means.
Skin means the outer covering of a fuel tank and a rail vehicle. The
skin may be covered with another coating of material such as fiberglass.
Spall, glazing means small pieces of glazing that fly off the back
surface of the glazing when an object strikes the front surface.
Switching service means the classification of freight cars according
to commodity or destination; assembling of cars for train movements;
changing the position of cars for purposes of loading, unloading, or
weighing; placing of locomotives and cars for repair or storage; or
moving of rail equipment in connection with work service that does not
constitute a train movement.
Telescope means override an adjoining rail vehicle or unit and
penetrate into the interior of that adjoining vehicle or unit because of
compressive forces.
Terminal means a starting point or ending point of a single
scheduled trip for a train, where passengers may get on or off a train.
Normally, this location is a point where the train would reverse
direction or change destinations.
Tier I means operating at speeds not exceeding 125 mph.
Tier II means operating at speeds exceeding 125 mph but not
exceeding 150 mph.
Tourist, scenic, historic, or excursion operations means railroad
operations
[[Page 544]]
that carry passengers, often using antiquated equipment, with the
conveyance of the passengers to a particular destination not being the
principal purpose. Train movements of new passenger equipment for
demonstration purposes are not tourist, scenic, historic, or excursion
operations.
Trailer car means a rail vehicle that neither propels a Tier II
passenger train nor is the leading unit in a Tier II passenger train. A
trailer car is normally without a control stand and is normally occupied
by passengers.
Train means a locomotive unit or locomotive units coupled, with or
without cars. For the purposes of the provisions of this part related to
power brakes, the term ``train'' does not include such equipment when
being used in switching service.
Train brake communication line means the communication link between
the locomotive and passenger equipment in a train by which the brake
commands are transmitted. This may be a pneumatic pipe, electrical line,
or radio signal.
Train, commuter means a passenger train providing commuter service
within an urban, suburban, or metropolitan area. The term includes a
passenger train provided by an instrumentality of a State or a political
subdivision of a State.
Train, long-distance intercity passenger means a passenger train
that provides service between large cities more than 125 miles apart and
is not operated exclusively in the National Railroad Passenger
Corporation's Northeast Corridor.
Train, passenger means a train that transports or is available to
transport members of the general public. If a train is composed of a
mixture of passenger and freight equipment, that train is a passenger
train for purposes of this part.
Train, short-distance intercity passenger means a passenger train
that provides service exclusively on the National Railroad Passenger
Corporation's Northeast Corridor or between cities that are not more
than 125 miles apart.
Train, Tier II passenger means a short-distance or long-distance
intercity passenger train providing service at speeds that include those
exceeding 125 mph but not exceeding 150 mph.
Trainset, passenger means a passenger train.
Transverse means in a direction perpendicular to the normal
direction of travel.
Ultimate strength means the load at which a structural member
fractures or ceases to resist any load.
Uncoupling mechanism means the arrangement for operating the coupler
by any means.
Underframe means the lower horizontal support structure of a rail
vehicle.
Unit means passenger equipment of any type, except a freight
locomotive when used to haul a passenger train due to failure of a
passenger locomotive.
Unoccupied volume means the volume of a rail vehicle or passenger
train which does not contain seating and is not normally occupied by
passengers or crewmembers.
Vehicle, rail means passenger equipment of any type and includes a
car, trailer car, locomotive, power car, tender, or similar vehicle.
This term does not include a freight locomotive when used to haul a
passenger train due to failure of a passenger locomotive.
Vestibule means an area of a passenger car that normally does not
contain seating and is used in passing from the seating area to the side
exit doors.
Witness plate means a thin foil placed behind a piece of glazing
undergoing an impact test. Any material spalled or broken from the back
side of the glazing will dent or mark the witness plate.
Yard means a system of tracks within defined limits provided for the
making up of trains, storing of cars, or other purposes.
Yard air test means a train brake system test conducted using a
source of compressed air other than a locomotive.
Yield strength means the ability of a structural member to resist a
change in length caused by a heavy load. Exceeding the yield strength
may cause permanent deformation of the member.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41305, July 3, 2000; 67
FR 19989, Apr. 23, 2002]
[[Page 545]]
Sec. 238.7 Waivers.
(a) A person subject to a requirement of this part may petition the
Administrator for a waiver of compliance with such requirement. The
filing of such a petition does not affect the person's responsibility
for compliance with that requirement while the petition is being
considered.
(b) Each petition for waiver under this section shall be filed in
the manner and contain the information required by part 211 of this
chapter.
(c) If the Administrator finds that a waiver of compliance is in the
public interest and is consistent with railroad safety, the
Administrator may grant the waiver subject to any conditions the
Administrator deems necessary.
Sec. 238.9 Responsibility for compliance.
(a) A railroad subject to this part shall not--
(1) Use, haul, permit to be used or hauled on its line, offer in
interchange, or accept in interchange any train or passenger equipment,
while in service,
(i) That has one or more conditions not in compliance with a safety
appliance or power brake provision of this part; or
(ii) That has not been inspected and tested as required by a safety
appliance or power brake provision of this part; or
(2) Use, haul, offer in interchange, or accept in interchange any
train or passenger equipment, while in service,
(i) That has one or more conditions not in compliance with a
provision of this part, other than the safety appliance and power brake
provisions of this part, if the railroad has actual knowledge of the
facts giving rise to the violation, or a reasonable person acting in the
circumstances and exercising reasonable care would have that knowledge;
or
(ii) That has not been inspected and tested as required by a
provision of this part, other than the safety appliance and power brake
provisions of this part, if the railroad has actual knowledge of the
facts giving rise to the violation, or a reasonable person acting in the
circumstances and exercising reasonable care would have that knowledge;
or
(3) Violate any other provision of this part.
(b) For purposes of this part, passenger equipment will be
considered in use prior to departure but after it has received, or
should have received, the inspection required under this part for
movement and is deemed ready for passenger service.
(c) Although the duties imposed by this part are generally stated in
terms of the duty of a railroad, any person as defined in Sec. 238.5,
including a contractor for a railroad, who performs any function covered
by this part must perform that function in accordance with this part.
Sec. 238.11 Penalties.
(a) Any person, as defined in Sec. 238.5, who violates any
requirement of this part or causes the violation of any such requirement
is subject to a civil penalty of at least $500 and not more than $11,000
per violation, except that: Penalties may be assessed against
individuals only for willful violations, and, where a grossly negligent
violation or a pattern of repeated violations has created an imminent
hazard of death or injury to persons, or has caused death or injury, a
penalty not to exceed $22,000 per violation may be assessed. Each day a
violation continues shall constitute a separate offense. See appendix A
to this part for a statement of agency civil penalty policy.
(b) Any person who knowingly and willfully falsifies a record or
report required by this part may be subject to criminal penalties under
49 U.S.C. 21311.
Sec. 238.13 Preemptive effect.
Under 49 U.S.C. 20106, issuance of the regulations in this part
preempts any State law, regulation, or order covering the same subject
matter, except an additional or more stringent law, regulation, or order
that is necessary to eliminate or reduce an essentially local safety
hazard; that is not incompatible with a law, regulation, or order of the
United States Government; and that does not unreasonably burden
interstate commerce.
[[Page 546]]
Sec. 238.15 Movement of passenger equipment with power brake defects.
Beginning on January 1, 2002, the following provisions of this
section apply to railroads operating Tier I passenger equipment covered
by this part. A railroad may request earlier application of these
requirements upon written notification to FRA's Associate Administrator
for Safety as provided in Sec. 238.1(c) of this part.
(a) General. This section contains the requirements for moving
passenger equipment with a power brake defect without liability for a
civil penalty under this part. Railroads remain liable for the movement
of passenger equipment under 49 U.S.C. 20303(c). For purposes of this
section, Sec. 238.17, and Sec. 238.503, a ``power brake defect'' is a
condition of a power brake component, or other primary brake component,
that does not conform with this part. (Passenger cars and other
passenger equipment classified as locomotives under part 229 of this
chapter are also covered by the movement restrictions contained in
Sec. 229.9 of this chapter for those defective conditions covered by
part 229 of this chapter.)
(b) Limitations on movement of passenger equipment containing a
power brake defect at the time a Class I or IA brake test is performed.
Except as provided in paragraph (c) of this section (which addresses
brakes that become defective en route after a Class I or IA brake test
was performed), a commuter or passenger train that has in its consist
passenger equipment containing a power brake defect at the time that a
Class I or IA brake test (or, for Tier II trains, the equivalent) is
performed may only be moved, without civil penalty liability under this
part--
(1) If all of the following conditions are met:
(i) The train is moved for purposes of repair, without passengers;
(ii) The applicable operating restrictions in paragraphs (d) and (e)
of this section are observed; and
(iii) The passenger equipment is tagged, or information is recorded,
as prescribed in paragraph (c)(2) of this section; or
(2) If the train is moved for purposes of scrapping or sale of the
passenger equipment that has the power brake defect and all of the
following conditions are met:
(i) The train is moved without passengers;
(ii) The movement is at a speed of 15 mph or less; and
(iii) The movement conforms with the railroad's air brake or power
brake instructions.
(c) Limitations on movement of passenger equipment in passenger
service that becomes defective en route after a Class I or IA brake
test. Passenger equipment hauled or used in service in a commuter or
passenger train that develops inoperative or ineffective power brakes or
any other power brake defect while en route to another location after
receiving a Class I or IA brake test (or, for Tier II trains, the
equivalent) may be hauled or used by a railroad for repair, without
civil penalty liability under this part, if the applicable operating
restrictions set forth in paragraphs (d) and (e) of this section are
complied with and all of the following requisites are satisfied:
(1) En route defect. At the time of the train's Class I or IA brake
test, the passenger equipment in the train was properly equipped with
power brakes that comply with this part. The power brakes on the
passenger equipment become defective while it is en route to another
location.
(2) Record. A tag or card is placed on both sides of the defective
passenger equipment, or an automated tracking system is provided, with
the following information about the defective passenger equipment:
(i) The reporting mark and car or locomotive number;
(ii) The name of the inspecting railroad;
(iii) The name of the inspector;
(iv) The inspection location and date;
(v) The nature of each defect;
(vi) The destination of the equipment where it will be repaired; and
(vii) The signature, if possible, and job title of the person
reporting the defective condition.
(3) Automated tracking system. Automated tracking systems used to
meet the tagging requirements contained in paragraph (c)(2) of this
section may be reviewed and monitored by FRA at any
[[Page 547]]
time to ensure the integrity of the system. FRA's Associate
Administrator for Safety may prohibit or revoke a railroad's ability to
utilize an automated tracking system in lieu of tagging if FRA finds
that the automated tracking system is not properly secure, is
inaccessible to FRA or a railroad's employees, or fails to adequately
track or monitor the movement of defective equipment. Such a
determination will be made in writing and will state the basis for such
action.
(4) Conditional requirement. In addition, if an en route failure
causes power brakes to be cut out or renders the brake inoperative on
passenger equipment, the railroad shall:
(i) Determine the percentage of operative power brakes in the train
based on the number of brakes known to be cut out or otherwise
inoperative, using the formula specified in paragraph (d)(1) of this
section;
(ii) Notify the person responsible for the movement of trains of the
percent of operative brakes and movement restrictions on the train
imposed by paragraph (d) of this section;
(iii) Notify the mechanical department of the failure; and
(iv) Confirm the percentage of operative brakes by a walking
inspection at the next location where the railroad reasonably judges
that it is safe to do so.
(d) Operating restrictions based on percent operative power brakes
in train. (1) Computation of percent operative power brakes.(i) Except
as specified in paragraphs (d)(1)(ii) and (iii) of this section, the
percentage of operative power brakes in a train shall be determined by
dividing the number of axles in the train with operative power brakes by
the total number of axles in the train.
(ii) For trains equipped with only tread brake units (TBUs), the
percentage of operative power brakes shall be determined by dividing the
number of operative TBUs by the total number of TBUs in the train.
(iii) Each cut-out axle on a locomotive that weighs more than
200,000 pounds shall be counted as two cut-out axles for the purposes of
calculating the percentage of operative brakes. Unless otherwise
specified by the railroad, the friction braking effort over all other
axles shall be considered uniform.
(iv) The following brake conditions not in compliance with this part
do not render power brakes inoperative for purposes of this calculation:
(A) Failure or cutting out of secondary brake systems;
(B) Inoperative or otherwise defective handbrakes or parking brakes;
(C) Piston travel that is in excess of the Class I brake test limits
required in Sec. 238.313 but that does not exceed the maximum prescribed
limits for considering the brakes to be effective; and
(D) Power brakes overdue for inspection, testing, maintenance, or
stenciling under this part.
(2) All passenger trains developing 50-74 percent operative power
brakes. A passenger train that develops inoperative power brake
equipment resulting in at least 50 percent but less than 75 percent
operative power brakes may be used only as follows:
(i) The train may be moved in passenger service only to the next
forward passenger station;
(ii) The speed of the train shall be restricted to 20 mph or less;
and
(iii) After all passengers are discharged, the defective equipment
shall be moved to the nearest location where the necessary repairs can
be made.
(3) Commuter, short-distance intercity, and short-distance Tier II
passenger trains developing 75-99 percent operative power brakes. (i)
75-84 percent operative brakes. Commuter, short-distance intercity, and
short-distance Tier II passenger trains which develop inoperative power
brake equipment resulting in at least 75 percent but less than 85
percent operative brakes may be used only as follows:
(A) The train may be moved in passenger service only to the next
forward location where the necessary repairs can be made; however, if
the next forward location where the necessary repairs can be made does
not have the facilities to handle the safe unloading of passengers, the
train may be moved past the repair location in service only to the next
forward passenger station in order to facilitate the unloading of
passengers; and
(B) The speed of the train shall be restricted to 50 percent of the
train's
[[Page 548]]
maximum allowable speed or 40 mph, whichever is less; and
(C) After all passengers are discharged, the defective equipment
shall be moved to the nearest location where the necessary repairs can
be made.
(ii) 85-99 percent operative brakes. Commuter, short-distance
intercity, and short-distance Tier II passenger trains which develop
inoperative power brake equipment resulting in at least 85 percent but
less than 100 percent operative brakes may only be used as follows:
(A) The train may be moved in passenger service only to the next
forward location where the necessary repairs can be made; however, if
the next forward location where the necessary repairs can be made does
not have the facilities to handle the safe unloading of passengers, the
train may be moved past the repair location in service only to the next
forward passenger station in order to facilitate the unloading of
passengers; and
(B) After all passengers are discharged, the defective equipment
shall be moved to the nearest location where the necessary repairs can
be made.
(4) Long-distance intercity and long-distance Tier II passenger
trains developing 75-99 operative power brakes. (i) 75-84 percent
operative brakes. Long-distance intercity and long-distance Tier II
passenger trains which develop inoperative power brake equipment
resulting in at least 75 percent but less than 85 percent operative
brakes may be used only if all of the following restrictions are
observed:
(A) The train may be moved in passenger service only to the next
forward repair location identified for repair of that equipment by the
railroad operating the equipment in the list required by Sec. 238.19(d);
however, if the next forward repair location does not have the
facilities to handle the safe unloading of passengers, the train may be
moved past the designated repair location in service only to the next
forward passenger station in order to facilitate the unloading of
passengers; and
(B) The speed of the train shall be restricted to 50 percent of the
train's maximum allowable speed or 40 mph, whichever is less; and
(C) After all passengers are discharged, the defective equipment
shall be moved to the nearest location where the necessary repairs can
be made.
(ii) 85-99 percent operative brakes. Long-distance intercity and
long-distance Tier II passenger trains which develop inoperative power
brake equipment resulting in at least 85 percent but less than 100
percent operative brakes may be used only if all of the following
restrictions are observed:
(A) The train may be moved in passenger service only to the next
forward repair location identified for repair of that equipment by the
railroad operating the equipment in the list required by Sec. 238.19(d);
however, if the next forward repair location does not have the
facilities to handle the safe unloading of passengers, the train may be
moved past the designated repair location in service only to the next
forward passenger station in order to facilitate the unloading of
passengers; and
(B) After all passengers are discharged, the defective equipment
shall be moved to the nearest location where the necessary repairs can
be made.
(e) Operating restrictions on passenger trains with inoperative
power brakes on the front or rear unit. If the power brakes on the front
or rear unit in any passenger train are completely inoperative the
following shall apply:
(1) If the handbrake is located inside the interior of the car:
(i) A qualified person shall be stationed at the handbrake on the
unit;
(ii) The car shall be locked-out and empty except for the railroad
employee manning the handbrake; and
(iii) Appropriate speed restrictions shall be placed on the train by
a qualified person;
(2) If the handbrake is located outside the interior of the car or
is inaccessible to a qualified person:
(i) The car shall be locked-out and empty;
(ii) The speed of the train shall be restricted to 20 mph or less;
and
(iii) The car shall be removed from the train or repositioned in the
train at the first location where it is possible to do so.
[[Page 549]]
(f) Special Notice for Repair. Nothing in this section authorizes
the movement of passenger equipment subject to a Special Notice for
Repair under part 216 of this chapter unless the movement is made in
accordance with the restrictions contained in the Special Notice.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000; 67
FR 19990, Apr. 23, 2002]
Sec. 238.17 Movement of passenger equipment with other than power brake
defects.
Beginning on January 1, 2002, the following provisions of this
section apply to railroads operating Tier I passenger equipment covered
by this part. A railroad may request earlier application of these
requirements upon written notification to FRA's Associate Administrator
for Safety as provided in Sec. 238.1(c) of this part.
(a) General. This section contains the requirements for moving
passenger equipment with other than a power brake defect. (Passenger
cars and other passenger equipment classified as locomotives under part
229 of this chapter are also covered by the movement restrictions
contained in Sec. 229.9 of this chapter for those defective conditions
covered by part 229 of this chapter.)
(b) Limitations on movement of passenger equipment containing
defects found at time of calendar day inspection. Except as provided in
Secs. 238.303(e)(15), 238.305(c) and (d), and 238.307(c)(1), passenger
equipment containing a condition not in conformity with this part at the
time of its calendar day mechanical inspection may be moved from that
location for repair if all of the following conditions are satisfied:
(1) If the condition involves a running gear defect, the defective
equipment is not used in passenger service and is moved in a non-revenue
train;
(2) If the condition involves a non-running gear defect, the
defective equipment may be used in passenger service in a revenue train
provided that a qualified maintenance person determines that it is safe
to do so, and if so, the car is locked out and empty, and all movement
restrictions are observed except that the car may be occupied by a
member of the train crew or a railroad employee to the extent necessary
to safely operate the train;
(3) The requirements of paragraphs (c)(3) and (c)(4) of this section
are met; and
(4) The special requirements of paragraph (e) of this section, if
applicable, are met.
(c) Limitations on movement of passenger equipment that develops
defects en route. Except as provided in Secs. 238.303(e)(15),
238.307(c)(1), and 238.503(f), passenger equipment that develops en
route to its destination, after its calendar day mechanical inspection
is performed and before its next calendar day mechanical inspection is
performed, any condition not in compliance with this part, other than a
power brake defect, may be moved only if the railroads complies with all
of the following requirements or, if applicable, the special
requirements in paragraph (e) of this section:
(1) Prior to movement of equipment with a potential running gear
defect, a qualified maintenance person shall determine if it is safe to
move the equipment in passenger service and, if so, the maximum speed
and other restrictions necessary for safely conducting the movement. If
appropriate, these determinations may be made based upon a description
of the defective condition provided by a crewmember. If the
determinations required by this paragraph are made by an off-site
qualified maintenance person based on a description of the defective
condition by on-site personnel, then a qualified maintenance person
shall perform a physical inspection of the defective equipment, at the
first location possible, to verify the description of the defect
provided by the on-site personnel.
(2) Prior to movement of equipment with a non-running gear defect, a
qualified person or a qualified maintenance person shall determine if it
is safe to move the equipment in passenger service and, if so, the
maximum speed and other restrictions necessary for safely conducting the
movement. If appropriate, these determinations may be made based upon a
description of the defective condition provided by the on-site
personnel.
(3) Prior to movement of any defective equipment, the qualified
person or
[[Page 550]]
qualified maintenance person shall notify the crewmember in charge of
the movement of the defective equipment, who in turn shall inform all
other crewmembers of the presence of the defective condition(s) and the
maximum speed and other restrictions determined under paragraph (c)(1)
or (c)(2) of this section. The movement shall be made in conformance
with such restrictions.
(4) The railroad shall maintain a record of all defects reported and
their subsequent repair in the defect tracking system required in
Sec. 238.19. In addition, prior to movement of the defective equipment,
a tag or card placed on both sides of the defective equipment, or an
automated tracking system, shall record the following information about
the defective equipment:
(i) The reporting mark and car or locomotive number;
(ii) The name of the inspecting railroad;
(iii) The name of the inspector, inspection location, and date;
(iv) The nature of each defect;
(v) Movement restrictions and safety restrictions, if any;
(vi) The destination of the equipment where it will be repaired; and
(vii) The signature, if possible, as well as the job title and
location of the person making the determinations required by this
section.
(5) Automated tracking system. Automated tracking systems used to
meet the tagging requirements contained in paragraph (c)(4) of this
section may be reviewed and monitored by FRA at any time to ensure the
integrity of the system. FRA's Associate Administrator for Safety may
prohibit or revoke a railroad's ability to utilize an automated tracking
system in lieu of tagging if FRA finds that the automated tracking
system is not properly secure, is inaccessible to FRA or a railroad's
employees, or fails to adequately track or monitor the movement of
defective equipment. Such a determination will be made in writing and
will state the basis for such action.
(6) After a qualified maintenance person or a qualified person
verifies that the defective equipment is safe to remain in service as
required in paragraphs (c)(1) and (c)(2) of this section, the defective
equipment that develops a condition not in compliance with this part
while en route may continue in passenger service not later than the next
calendar day mechanical inspection, if the requirements of this
paragraph are otherwise fully met.
(d) Inspection of roller bearings on equipment involved in a
derailment. (1) A railroad shall not continue passenger equipment in
service that has a roller bearing whose truck was involved in a
derailment unless the bearing has been inspected and tested in
accordance with the railroad's procedures for handling defective
equipment.
(2) The roller bearing shall be disassembled from the axle and
inspected internally if:
(i) It shows any external sign of damage;
(ii) It makes any unusual noise when its wheel set is spun freely
(an on-track rolling test is acceptable) or when the bearing is manually
rotated;
(iii) Its truck was involved in a derailment at a speed of more than
10 miles per hour; or
(iv) Its truck was dragged on the ground for more than 100 feet.
(e) Special requisites for movement of passenger equipment with
safety appliance defects. Consistent with 49 U.S.C. 20303, passenger
equipment with a safety appliance not in compliance with this part or
with part 231 of this chapter, if applicable, may be moved--
(1) If necessary to effect repair of the safety appliance;
(2) From the point where the safety appliance defect was first
discovered by the railroad to the nearest available location on the
railroad where the necessary repairs required to bring the passenger
equipment into compliance can be made or, at the option of the receiving
railroad, the equipment may be received and hauled for repair to a point
on the receiving railroad's line that is no farther than the point on
the delivering railroad's line where the repair of the defect could have
been made;
(3) If a tag placed on both sides of the passenger equipment or an
automated tracking system contains the information required under
paragraph (c)(4) of this section; and
[[Page 551]]
(4) After notification of the crewmember in charge of the movement
of the defective equipment, who in turn shall inform all other
crewmembers of the presence of the defective condition(s).
(f) Special Notice for Repair. Nothing in this section authorizes
the movement of equipment subject to a Special Notice for Repair under
part 216 of this chapter unless the movement is made in accordance with
the restrictions contained in the Special Notice.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000]
Sec. 238.19 Reporting and tracking of repairs to defective passenger
equipment.
(a) General. Beginning on January 1, 2002, each railroad shall have
in place a reporting and tracking system for passenger equipment with a
defect not in conformance with this part. A railroad may request earlier
application of these requirements upon written notification to FRA's
Associate Administrator for Safety as provided in Sec. 238.1(c) of this
part. The reporting and tracking system shall record the following
information:
(1) The identification number of the defective equipment;
(2) The date the defect was discovered;
(3) The nature of the defect;
(4) The determination made by a qualified person or qualified
maintenance person on whether the equipment is safe to run;
(5) The name of the qualified person or qualified maintenance person
making such a determination;
(6) Any operating restrictions placed on the equipment; and
(7) Repairs made and the date that they were made.
(b) Retention of records. At a minimum, each railroad shall keep the
records described in paragraph (a) of this section for one periodic
maintenance interval for each specific type of equipment as described in
the railroad's inspection, testing, and maintenance plan required by
Sec. 238.107. FRA strongly encourages railroads to keep these records
for longer periods of time because they form the basis for future
reliability-based decisions concerning test and maintenance intervals
that may be developed pursuant to Sec. 238.307(b).
(c) Availability of records. Railroads shall make defect reporting
and tracking records available to FRA upon request.
(d) List of power brake repair points. Railroads operating long-
distance intercity and long-distance Tier II passenger equipment shall
designate locations, in writing, where repairs to passenger equipment
with a power brake defect will be made and shall provide the list to
FRA's Associate Administrator for Safety and make it available to FRA
for inspection and copying upon request. Railroads operating these
trains shall designate a sufficient number of repair locations to ensure
the safe and timely repair of passenger equipment. These designations
shall not be changed without at least 30 days' advance written notice to
FRA's Associate Administrator for Safety.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41306, July 3, 2000]
Sec. 238.21 Special approval procedure.
(a) General. The following procedures govern consideration and
action upon requests for special approval of alternative standards under
Secs. 238.103, 238.223, 238.309, 238.311, 238.405, or 238.427; for
approval of alternative compliance under Sec. 238.201; and for special
approval of pre-revenue service acceptance testing plans as required by
Sec. 238.111. (Requests for approval of programs for the inspection,
testing, and maintenance of Tier II passenger equipment are governed by
Sec. 238.505.)
(b) Petitions for special approval of alternative standard. Each
petition for special approval of an alternative standard shall contain--
(1) The name, title, address, and telephone number of the primary
person to be contacted with regard to review of the petition;
(2) The alternative proposed, in detail, to be substituted for the
particular requirements of this part;
(3) Appropriate data or analysis, or both, establishing that the
alternative will provide at least an equivalent level of safety; and
[[Page 552]]
(4) A statement affirming that the railroad has served a copy of the
petition on designated representatives of its employees, together with a
list of the names and addresses of the persons served.
(c) Petitions for special approval of alternative compliance. Each
petition for special approval of alternative compliance shall contain--
(1) The name, title, address, and telephone number of the primary
person to be contacted with regard to the petition;
(2) The elements prescribed in Sec. 238.201(b); and
(3) A statement affirming that the railroad has served a copy of the
petition on designated representatives of its employees, together with a
list of the names and addresses of the persons served.
(d) Petitions for special approval of pre-revenue service acceptance
testing plan.
(1) Each petition for special approval of a pre-revenue service
acceptance testing plan shall contain--
(i) The name, title, address, and telephone number of the primary
person to be contacted with regard to review of the petition; and
(ii) The elements prescribed in Sec. 238.111.
(2) Three copies of each petition for special approval of the pre-
revenue service acceptance testing plan shall be submitted to the
Associate Administrator for Safety, Federal Railroad Administration,
1120 Vermont Ave., N.W., Mail Stop 25, Washington, D.C. 20590.
(e) Federal Register notice. FRA will publish a notice in the
Federal Register concerning each petition under paragraphs (b) and (c)
of this section.
(f) Comment. Not later than 30 days from the date of publication of
the notice in the Federal Register concerning a petition under
paragraphs (b) and (c) of this section, any person may comment on the
petition.
(1) Each comment shall set forth specifically the basis upon which
it is made, and contain a concise statement of the interest of the
commenter in the proceeding.
(2) Each comment shall be submitted to the DOT Central Docket
Management System, Nassif Building, Room Pl-401, 400 Seventh Street,
S.W., Washington, D.C. 20590, and shall contain the assigned docket
number for that proceeding. The form of such submission may be in
written or electronic form consistent with the standards and
requirements established by the Central Docket Management System and
posted on its web site at http://dms.dot.gov.
(g) Disposition of petitions.
(1) FRA will conduct a hearing on a petition in accordance with the
procedures provided in Sec. 211.25 of this chapter.
(2) If FRA finds that the petition complies with the requirements of
this section or that the proposed plan is acceptable or changes are
justified, or both, the petition will be granted, normally within 90
days of its receipt. If the petition is neither granted nor denied
within 90 days, the petition remains pending for decision. FRA may
attach special conditions to the approval of the petition. Following the
approval of a petition, FRA may reopen consideration of the petition for
cause stated.
(3) If FRA finds that the petition does not comply with the
requirements of this section, or that the proposed plan is not
acceptable or that the proposed changes are not justified, or both, the
petition will be denied, normally within 90 days of its receipt.
(4) When FRA grants or denies a petition, or reopens consideration
of the petition, written notice is sent to the petitioner and other
interested parties.
[64 FR 25660, May 12, 1999, as amended at 64 FR 70196, Dec. 16, 1999]
Sec. 238.23 Information collection.
(a) The information collection requirements of this part were
reviewed by the Office of Management and Budget pursuant to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et. seq.) and are
assigned OMB control number 2130-0544.
(b) The information collection requirements are found in the
following sections: Secs. 238.1, 238.7, 238.11, 238.15, 238.17, 238.19,
238.21, 238.103, 238.105, 238.107, 238.109, 238.111, 238.201, 238.203,
238.211, 238.223, 238.231, 238.237, 238.301, 238.303, 238.305, 238.307,
238.309, 238.311, 238.313, 238.315, 238.317, 238.403, 238.405, 238.421,
238.423, 238.427, 238.431, 238.437,
[[Page 553]]
238.441, 238.445, 238.447, 238.503, 238.505, and 238.603.
Subpart B--Safety Planning and General Requirements
Sec. 238.101 Scope.
This subpart contains safety planning and general safety
requirements for all railroad passenger equipment subject to this part.
Sec. 238.103 Fire safety.
(a) Materials. (1) Materials used in constructing a passenger car or
a cab of a locomotive ordered on or after September 8, 2000, or placed
in service for the first time on or after September 9, 2002, shall meet
the test performance criteria for flammability and smoke emission
characteristics as specified in Appendix B to this part, or alternative
standards issued or recognized by an expert consensus organization after
special approval of FRA under Sec. 238.21.
(2) On or after November 8, 1999, materials introduced in a
passenger car or a locomotive cab, as part of any kind of rebuild,
refurbishment, or overhaul of the car or cab, shall meet the test
performance criteria for flammability and smoke emission characteristics
as specified in Appendix B to this part, or alternative standards issued
or recognized by an expert consensus organization after special approval
of FRA under Sec. 238.21.
(3) For purposes of complying with the requirements of this
paragraph, a railroad may rely on the results of tests of material
conducted in accordance with the standards and performance criteria for
flammabilitiy and smoke emission characteristics as specified in
Appendix B to this part in effect on July 12, 1999 (see 49 CFR parts
200-399, revised as of October 1, 1999), if prior to June 25, 2002 the
material is--
(i) Installed in a passenger car or locomotive;
(ii) Held in inventory by the railroad; or
(iii) Ordered by the railroad.
(b) Certification. A railroad shall require certification that a
representative sample of combustible materials to be--
(1) Used in constructing a passenger car or a locomotive cab, or
(2) Introduced in a passenger car or a locomotive cab, as part of
any kind of rebuild, refurbishment, or overhaul of the car or cab, has
been tested by a recognized independent testing laboratory and that the
results show the representative sample complies with the requirements of
paragraph (a) of this section at the time it was tested.
(c) Fire safety analysis for procuring new passenger cars and
locomotives. In procuring new passenger cars and locomotives, each
railroad shall ensure that fire safety considerations and features in
the design of this equipment reduce the risk of personal injury caused
by fire to an acceptable level in its operating environment using a
formal safety methodology such as MIL-STD-882. To this end, each
railroad shall complete a written fire safety analysis for the passenger
equipment being procured. In conducting the analysis, the railroad
shall--
(1) Identify, analyze, and prioritize the fire hazards inherent in
the design of the equipment.
(2) Take effective steps to design the equipment and select
materials which help provide sufficient fire resistance to reasonably
ensure adequate time to detect a fire and safely evacuate the passengers
and crewmembers, if a fire cannot be prevented. Factors to consider
include potential ignition sources; the type, quantity, and location of
the materials; and availability of rapid and safe egress to the exterior
of the equipment under conditions secure from fire, smoke, and other
hazards.
(3) Reasonably ensure that a ventilation system in the equipment
does not contribute to the lethality of a fire.
(4) Identify in writing any train component that is a risk of
initiating fire and which requires overheat protection. An overheat
detector shall be installed in any component when the analysis
determines that an overheat detector is necessary.
(5) Identify in writing any unoccupied train compartment that
contains equipment or material that poses a fire hazard, and analyze the
benefit provided by including a fire or smoke detection system in each
compartment so identified. A fire or smoke detector shall be installed
in any unoccupied
[[Page 554]]
compartment when the analysis determines that such equipment is
necessary to ensure sufficient time for the safe evacuation of
passengers and crewmembers from the train. For purposes of this section,
an unoccupied train compartment means any part of the equipment
structure that is not normally occupied during operation of the train,
including a closet, baggage compartment, food pantry, etc.
(6) Determine whether any occupied or unoccupied space requires a
portable fire extinguisher and, if so, the proper type and size of the
fire extinguisher for each location. As required by Sec. 239.101 of this
chapter, each passenger car is required to have a minimum of one
portable fire extinguisher. If the analysis performed indicates that one
or more additional portable fire extinguishers are needed, such shall be
installed.
(7) On a case-by-case basis, analyze the benefit provided by
including a fixed, automatic fire-suppression system in any unoccupied
train compartment that contains equipment or material that poses a fire
hazard, and determine the proper type and size of the automatic fire-
suppression system for each such location. A fixed, automatic fire-
suppression system shall be installed in any unoccupied compartment when
the analysis determines that such equipment is practical and necessary
to ensure sufficient time for the safe evacuation of passengers and
crewmembers from the train.
(8) Explain how safety issues are resolved in the design of the
equipment and selection of materials to reduce the risk of each fire
hazard.
(9) Describe the analysis and testing necessary to demonstrate that
the fire protection approach taken in the design of the equipment and
selection of materials meets the fire protection requirements of this
part.
(d) Fire safety analysis for existing passenger cars and
locomotives. (1) Not later than January 10, 2001, each passenger
railroad shall complete a preliminary fire safety analysis for each
category of existing passenger cars and locomotives and rail service.
(2) Not later than July 10, 2001, each such railroad shall--
(i) Complete a final fire safety analysis for any category of
existing passenger cars and locomotives and rail service evaluated
during the preliminary fire safety analysis as likely presenting an
unacceptable risk of personal injury. In conducting the analysis, the
railroad shall consider the extent to which materials comply with the
test performance criteria for flammability and smoke emission
characteristics as specified in Appendix B to this part or alternative
standards approved by FRA under this part.
(ii) Take remedial action to reduce the risk of personal injuries to
an acceptable level in any such category, if the railroad finds the risk
to be unacceptable. In considering remedial action, a railroad is not
required to replace material found not to comply with the test
performance criteria for flammability and smoke emission characteristics
required by this part, if:
(A) The risk of personal injuries from the material is negligible
based on the railroad's operating environment and the material's size,
or location, or both; or
(B) The railroad takes alternative action which reduces the risk of
personal injuries to an acceptable level.
(3) Not later than July 10, 2003, each such railroad shall--
(i) Complete a final fire safety analysis for all categories of
existing passenger cars and locomotives and rail service. In completing
this analysis, the railroad shall, as far as practicable, determine the
extent to which remaining materials comply with the test performance
criteria for flammability and smoke emission characteristics as
specified in Appendix B to this part or alternative standards approved
by FRA under this part.
(ii) Take remedial action to reduce the risk of personal injuries to
an acceptable level in any such category, if the railroad finds the risk
to be unacceptable. In considering remedial action, a railroad is not
required to replace material found not to comply with the test
performance criteria for flammability and smoke emission characteristics
required by this part, if:
[[Page 555]]
(A) The risk of personal injuries from the material is negligible
based on the railroad's operating environment and the material's size,
or location, or both; or
(B) The railroad takes alternative action which reduces the risk of
personal injuries to an acceptable level.
(4) Where possible prior to transferring existing passenger cars and
locomotives to a new category of rail service, but in no case more than
90 days following such a transfer, the passenger railroad shall complete
a new fire safety analysis taking into consideration the change in
railroad operations and shall effect prompt action to reduce any
identified risk to an acceptable level.
(5) As used in this paragraph, a ``category of existing passenger
cars and locomotives and rail service'' shall be determined by the
railroad based on relevant fire safety risks, including available
ignition sources, presence or absence of heat/smoke detection systems,
known variations from the required material test performance criteria or
alternative standards approved by FRA, and availability of rapid and
safe egress to the exterior of the vehicle under conditions secure from
fire, smoke, and other hazards.
(e) Inspection, testing, and maintenance. Each railroad shall
develop and adopt written procedures for the inspection, testing, and
maintenance of all fire safety systems and fire safety equipment on the
passenger equipment it operates. The railroad shall comply with those
procedures that it designates as mandatory for the safety of the
equipment and its occupants.
[64 FR 25660, May 12, 1999, as amended at 67 FR 42909, June 25, 2002]
Sec. 238.105 Train electronic hardware and software safety.
The requirements of this section apply to electronic hardware and
software used to control or monitor safety functions in passenger
equipment ordered on or after September 8, 2000, and such components
implemented or materially modified in new or existing passenger
equipment on or after September 9, 2002.
(a) The railroad shall develop and maintain a written hardware and
software safety program to guide the design, development, testing,
integration, and verification of software and hardware that controls or
monitors equipment safety functions.
(b) The hardware and software safety program shall be based on a
formal safety methodology that includes a Failure Modes, Effects,
Criticality Analysis (FMECA); verification and validation testing for
all hardware and software components and their interfaces; and
comprehensive hardware and software integration testing to ensure that
the hardware and software system functions as intended.
(c) The hardware and software safety program shall include a
description of how the following will be accomplished, achieved, carried
out, or implemented to ensure safety and reliability:
(1) The hardware and software design process;
(2) The hardware and software design documentation;
(3) The hardware and software hazard analysis;
(4) Hardware and software safety reviews;
(5) Hardware and software hazard monitoring and tracking;
(6) Hardware and software integration safety testing; and
(7) Demonstration of overall hardware and software system safety as
part of the pre-revenue service testing of the equipment.
(d) (1) Hardware and software that controls or monitors a train's
primary braking system shall either:
(i) Fail safely by initiating a full service brake application in
the event of a hardware or software failure that could impair the
ability of the engineer to apply or release the brakes; or
(ii) Access to direct manual control of the primary braking system
(both service and emergency braking) shall be provided to the engineer.
(2) Hardware and software that controls or monitors the ability to
shut down a train's main power and fuel intake system shall either:
(i) Fail safely by shutting down the main power and cutting off the
intake of fuel in the event of a hardware or software failure that could
impair the
[[Page 556]]
ability of the train crew to command that electronic function; or
(ii) The ability to shut down the main power and fuel intake by non-
electronic means shall be provided to the train crew.
(e) The railroad shall comply with the elements of its hardware and
software safety program that affect the safety of the passenger
equipment.
[67 FR 19990, Apr. 23, 2002]
Sec. 238.107 Inspection, testing, and maintenance plan.
(a) General. Beginning on January 1, 2002, the following provisions
of this section apply to railroads operating Tier I passenger equipment
covered by this part. A railroad may request earlier application of
these requirements upon written notification to FRA's Associate
Administrator for Safety as provided in Sec. 238.1(c).
(b) Each railroad shall develop, and provide to FRA upon request, a
detailed inspection, testing, and maintenance plan consistent with the
requirements of this part. This plan shall include a detailed
description of the following:
(1) Inspection procedures, intervals, and criteria;
(2) Test procedures and intervals;
(3) Scheduled preventive maintenance intervals;
(4) Maintenance procedures; and
(5) Special testing equipment or measuring devices required to
perform inspections and tests.
(c) The inspection, testing, and maintenance plan required by this
section is not intended to address and should not include procedures to
address employee working conditions that arise in the course of
conducting the inspections, tests, and maintenance set forth in the
plan. When requesting a copy of the railroad's plan, FRA does not intend
to review any portion of the plan that relates to employee working
conditions.
(d) The inspection, testing, and maintenance plan required by this
section shall be reviewed by the railroad annually.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]
Sec. 238.109 Training, qualification, and designation program.
(a) Beginning on January 1, 2002, each railroad shall have adopted a
training, qualification, and designation program for employees and
contractors that perform any of the inspections, tests, or maintenance
required by this part, and shall have trained such employees and
contractors in accordance with the program. A railroad may request
earlier application of these requirements upon written notification to
FRA's Associate Administrator for Safety as provided in Sec. 238.1(c).
For purposes of this section, a ``contractor'' is defined as a person
under contract with the railroad or an employee of a person under
contract with the railroad to perform any of the tasks required by this
part.
(b) As part of this program, the railroad shall, at a minimum:
(1) Identify the tasks related to the inspection, testing, and
maintenance required by this part that must be performed on each type of
equipment that the railroad operates;
(2) Develop written procedures for the performance of the tasks
identified in paragraph (b)(1) of this section;
(3) Identify the skills and knowledge necessary to perform each task
identified in paragraph (b)(1) of this section;
(4) Adopt a training curriculum that includes classroom and ``hands-
on'' lessons designed to impart the skills and knowledge identified as
necessary to perform each task identified in paragraph (b)(1) of this
section. The training curriculum shall specifically address the Federal
regulatory requirements contained in this part that are related to the
performance of the tasks identified;
(5) Require all employees and contractors to successfully complete
the training course that covers the equipment and tasks for which they
are responsible that are required by this part as well as the specific
Federal regulatory requirements contained in this part related to
equipment and tasks for which they are responsible;
(6) Require all employees and contractors to pass either a written
or an oral examination covering the equipment and tasks for which they
are responsible that are required by this part
[[Page 557]]
as well as the specific Federal regulatory requirements contained in
this part related to equipment and tasks for which they are responsible;
(7) Require all employees and contractors to individually
demonstrate ``hands-on'' capability to successfully perform the tasks
required by this part that must be performed as part of their duties on
the type equipment to which they are assigned;
(8) Require supervisors to complete the program that covers the
employees whom they supervise, including refresher training;
(9) Require supervisors to exercise oversight to ensure that all the
identified tasks are performed in accordance with the railroad's written
procedures;
(10) Designate in writing that each employee and contractor has the
knowledge and skills necessary to perform the safety-related tasks that
are part of his or her job;
(11) Require periodic refresher training, at an interval not to
exceed three years, that includes classroom and ``hands-on'' training,
as well as testing; except, employees and contractors that have
completed their initial training under this part prior to January 1,
2002, shall not be required to complete their first periodic refresher
training until four years after the completion of their initial
training, and every three years thereafter;
(12) Add new equipment to the qualification and designation program
prior to its introduction to revenue service; and
(13) Maintain records adequate to demonstrate that each employee and
contractor performing safety-related tasks on passenger equipment is
currently qualified to do so. These records shall be adequate to
distinguish the qualifications of the employee or contractor as a
qualified person or as a qualified maintenance person.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000; 67
FR 19990, Apr. 23, 2002]
Sec. 238.111 Pre-revenue service acceptance testing plan.
(a) Passenger equipment that has previously been used in revenue
service in the United States. For passenger equipment that has
previously been used in revenue service in the United States, each
railroad shall test the equipment on its system prior to placing such
equipment in revenue service for the first time on its railroad to
ensure the compatibility of the equipment with the railroad's operating
system (including the track, and signal system). A description of such
testing shall be retained by the railroad and made available to FRA for
inspection and copying upon request. For purposes of this paragraph,
passenger equipment that has previously been used in revenue service in
the United States means:
(1) The actual equipment used in such service;
(2) Equipment manufactured identically to that actual equipment; and
(3) Equipment manufactured similarly to that actual equipment with
no material differences in safety-critical components or systems.
(b) Passenger equipment that has not been used in revenue service in
the United States. Before using passenger equipment for the first time
on its system that has not been used in revenue service in the United
States, each railroad shall:
(1) Prepare a pre-revenue service acceptance testing plan for the
equipment which contains the following elements:
(i) An identification of any waivers of FRA or other Federal safety
regulations required for the testing or for revenue service operation of
the equipment;
(ii) A clear statement of the test objectives. One of the principal
test objectives shall be to demonstrate that the equipment meets the
safety requirements specified in this part when operated in the
environment in which it is to be used;
(iii) A planned schedule for conducting the testing;
(iv) A description of the railroad property or facilities to be used
to conduct the testing;
(v) A detailed description of how the testing is to be conducted,
including a description of the criteria to be used to evaluate the
equipment's performance;
(vi) A description of how the test results are to be recorded;
[[Page 558]]
(vii) A description of any special instrumentation to be used during
the tests;
(viii) A description of the information or data to be obtained;
(ix) A description of how the information or data obtained is to be
analyzed or used;
(x) A description of any criteria to be used as safety limits during
the testing;
(xi) A description of the criteria to be used to measure or
determine the success or failure of the tests. If acceptance is to be
based on extrapolation of less than full-level testing results, the
analysis to be done to justify the validity of the extrapolation shall
be described;
(xii) Quality control procedures to ensure that the inspection,
testing, and maintenance procedures are followed;
(xiii) Criteria to be used for the revenue service operation of the
equipment; and
(xiv) A description of any testing of the equipment that has
previously been performed.
(2) Submit a copy of the plan to FRA at least 30 days prior to
testing the equipment and include with that submission notification of
the times and places of the pre-revenue service tests to permit FRA
observation of such tests. For Tier II passenger equipment, the railroad
shall obtain FRA approval of the plan under the procedures specified in
Sec. 238.21.
(3) Comply with the plan, including fully executing the tests
required by the plan.
(4) Document in writing the results of the tests. For Tier II
passenger equipment, the railroad shall report the results of the tests
to the FRA Associate Administrator for Safety at least 90 days prior to
its intended operation of the equipment in revenue service.
(5) Correct any safety deficiencies identified in the design of the
equipment or in the inspection, testing, and maintenance procedures,
uncovered during the testing. If safety deficiencies cannot be corrected
by design changes, the railroad shall impose operational limitations on
the revenue service operation of the equipment that are designed to
ensure that the equipment can operate safely. For Tier II passenger
equipment, the railroad shall comply with any operational limitations
imposed by the FRA Associate Administrator for Safety on the revenue
service operation of the equipment for cause stated following FRA review
of the results of the test program. This section does not restrict a
railroad from petitioning FRA for a waiver of a safety regulation under
the procedures specified in part 211 of this chapter.
(6) Make the plan and documentation kept pursuant to that plan
available for inspection and copying by FRA upon request.
(7) For Tier II passenger equipment, obtain approval from the FRA
Associate Administrator for Safety prior to placing the equipment in
revenue service. The Associate Administrator grants such approval upon a
showing of the railroad's compliance with the applicable requirements of
this part.
(c) If a railroad plans a major upgrade or introduction of new
technology on Tier II passenger equipment that has been used in revenue
service in the United States and that affects a safety system on such
equipment, the railroad shall follow the procedures specified in
paragraph (b) of this section prior to placing the equipment in revenue
service with such a major upgrade or introduction of new technology.
Sec. 238.113 Emergency window exits.
(a) The following requirements apply on or after Novermber 8, 1999--
(1) Each passenger car shall have a minimum of four emergency window
exits, either in a staggered configuration where practical or with one
exit located in each end of each side of the passenger car. If the
passenger car has multiple levels, each main level shall have a minimum
of four emergency window exits, either in a staggered configuration
where practical or with one exit located in each end of each side on
each level.
(2) Each sleeping car, and any similarly designed car having a
number of separate compartments intended to be
[[Page 559]]
occupied by passengers or train crewmembers, shall have at least one
emergency window exit in each compartment.
(3) Each emergency window exit shall be designed to permit rapid and
easy removal from the inside of the car during an emergency situation
without requiring the use of a tool or other implement.
(b) Each emergency window exit in a passenger car, including a
sleeper car, ordered on or after September 8, 2000, or placed in service
for the first time on or after September 9, 2002, shall have an
unobstructed opening with minimum dimensions of 26 inches horizontally
by 24 inches vertically. A seat back is not an obstruction if it can be
moved away from the window opening without requiring the use of a tool
or other implement.
(c) Emergency window exits shall be marked, and instructions
provided for their use, as required by Sec. 223.9(d) of this chapter.
[64 25660, May 12, 1999, as amended at 67 FR 19990, Apr. 23, 2002]
Sec. 238.115 Emergency lighting.
(a) This section applies to each passenger car ordered on or after
September 8, 2000, or placed in service for the first time on or after
September 9, 2002. This section applies to each level of a multi-level
passenger car.
(b) Emergency lighting shall be provided in each passenger car and
shall include the following:
(1) A minimum, average illumination level of 1 foot-candle measured
at floor level adjacent to each exterior door and each interior door
providing access to an exterior door (such as a door opening into a
vestibule);
(2) A minimum, average illumination level of 1 foot-candle measured
25 inches above floor level along the center of each aisle and
passageway;
(3) A minimum illumination level of 0.1 foot-candle measured 25
inches above floor level at any point along the center of each aisle and
passageway; and
(4) A back-up power system capable of:
(i) Operating in all equipment orientations within 45 degrees of
vertical;
(ii) Operating after the initial shock of a collision or derailment
resulting in the following individually applied accelerations:
(A) Longitudinal: 8g;
(B) Lateral: 4g; and
(C) Vertical: 4g; and
(iii) Operating all emergency lighting for a period of at least 90
minutes without a loss of more than 40% of the minimum illumination
levels specified in this paragraph (b).
Sec. 238.117 Protection against personal injury.
On or after November 8, 1999, all moving parts, high voltage
equipment, electrical conductors and switches, and pipes carrying hot
fluids or gases on all passenger equipment shall be appropriately
equipped with interlocks or guards to minimize the risk of personal
injury. This section does not apply to the interior of a private car.
Sec. 238.119 Rim-stamped straight-plate wheels.
(a)(1) Except as provided in paragraph (a)(2) of this section, on or
after November 8, 1999, no railroad shall place or continue in service
any vehicle, other than a private car, that is equipped with a rim-
stamped straight-plate wheel if a brake shoe acts on the tread of the
wheel for the purpose of slowing the vehicle.
(2) A commuter railroad may continue in service a vehicle equipped
with a Class A, rim-stamped straight-plate wheel mounted on an inboard-
bearing axle until the railroad exhausts its replacement stock of wheels
held as of May 12, 1999, provided the railroad does not modify the
operation of the vehicle in any way that would result in increased
thermal input to the wheel during braking.
(b) A rim-stamped straight-plate wheel shall not be used as a
replacement wheel on a private car that operates in a passenger train if
a brake shoe acts on the tread of the wheel for the purpose of slowing
the car.
(c) The requirements of this section do not apply to a wheel that is
periodically tread-braked for a short duration by automatic circuitry
for the sole purpose of cleaning the wheel tread surface.
[[Page 560]]
Subpart C--Specific Requirements for Tier I Passenger Equipment
Sec. 238.201 Scope/alternative compliance.
(a) Scope. (1) This subpart contains requirements for railroad
passenger equipment operating at speeds not exceeding 125 miles per
hour. As stated in Sec. 238.229, all such passenger equipment remains
subject to the safety appliance requirements contained in Federal
statute at 49 U.S.C. chapter 203 and in FRA regulations at part 231 and
Sec. 232.2 of this chapter. Unless otherwise specified, these
requirements only apply to passenger equipment ordered on or after
September 8, 2000 or placed in service for the first time on or after
September 9, 2002.
(2) The structural standards of this subpart (Sec. 238.203-static
end strength; Sec. 238.205-anti-climbing mechanism; Sec. 238.207-link
between coupling mechanism and car body; Sec. 238.209-forward-facing end
structure of locomotives; Sec. 238.211-collision posts; Sec. 238.213-
corner posts; Sec. 238.215-rollover strength; Sec. 238.217-side
structure; Sec. 238.219 -truck-to-car-body attachment; and Sec. 238.223-
locomotive fuel tanks) do not apply to passenger equipment if used
exclusively on a rail line:
(i) With no public highway-rail grade crossings;
(ii) On which no freight operations occur at any time;
(iii) On which only passenger equipment of compatible design is
utilized; and
(iv) On which trains operate at speeds not exceeding 79 mph.
(b) Alternative compliance. Passenger equipment of special design
shall be deemed to comply with this subpart, other than Sec. 238.203,
for the service environment in which the petitioner proposes to operate
the equipment if the FRA Associate Administrator for Safety determines
under paragraph (c) of this section that the equipment provides at least
an equivalent level of safety in such environment with respect to the
protection of its occupants from serious injury in the case of a
derailment or collision. In making a determination under paragraph (c)
the Associate Administrator shall consider, as a whole, all of those
elements of casualty prevention or mitigation relevant to the integrity
of the equipment that are addressed by the requirements of this subpart.
(c)(1) The Associate Administrator may only make a finding of
equivalent safety and compliance with this subpart, other than
Sec. 238.203, based upon a submission of data and analysis sufficient to
support that determination. The petition shall include:
(i) The information required by Sec. 238.21(c);
(ii) Information, including detailed drawings and materials
specifications, sufficient to describe the actual construction of the
equipment of special design;
(iii) Engineering analysis sufficient to describe the likely
performance of the equipment in derailment and collision scenarios
pertinent to the safety requirements for which compliance is required
and for which the equipment does not conform to the specific
requirements of this subpart; and
(iv) A quantitative risk assessment, incorporating the design
information and engineering analysis described in this paragraph,
demonstrating that the equipment, as utilized in the service environment
for which recognition is sought, presents no greater hazard of serious
personal injury than equipment that conforms to the specific
requirements of this subpart.
(2) Any petition made under this paragraph is subject to the
procedures set forth in Sec. 238.21, and will be disposed of in
accordance with Sec. 238.21(g).
[64 25660, May 12, 1999, as amended at 67 FR 19990, Apr. 23, 2002]
Sec. 238.203 Static end strength.
(a)(1) Except as further specified in this paragraph or in paragraph
(d), on or after November 8, 1999 all passenger equipment shall resist a
minimum static end load of 800,000 pounds applied on the line of draft
without permanent deformation of the body structure.
(2) For a passenger car or a locomotive, the static end strength of
unoccupied volumes may be less than 800,000 pounds if:
(i) Energy absorbing structures are used as part of a crash energy
management design of the passenger car or locomotive, and
[[Page 561]]
(ii) The passenger car or locomotive resists a minimum static end
load of 800,000 pounds applied on the line of draft at the ends of its
occupied volume without permanent deformation of the body structure.
(3) For a locomotive placed in service prior to November 8, 1999, as
an alternative to resisting a minimum static end load of 800,000 pounds
applied on the line of draft without permanent deformation of the body
structure, the locomotive shall resist a horizontal load of 1,000,000
pounds applied along the longitudinal center line of the locomotive at a
point on the buffer beam construction 12 inches above the center line of
draft without permanent deformation of the body structure. The
application of this load shall not be distributed over an area greater
than 6 inches by 24 inches. The alternative specified in this paragraph
is not applicable to a cab car or an MU locomotive.
(4) The requirements of this paragraph do not apply to:
(i) A private car; or
(ii) Unoccupied passenger equipment operating at the rear of a
passenger train.
(b) Passenger equipment placed in service before November 8, 1999 is
presumed to comply with the requirements of paragraph (a)(1) of this
section, unless the railroad operating the equipment has knowledge, or
FRA makes a showing, that such passenger equipment was not built to the
requirements specified in paragraph (a)(1).
(c) When overloaded in compression, the body structure of passenger
equipment shall be designed, to the maximum extent possible, to fail by
buckling or crushing, or both, of structural members rather than by
fracture of structural members or failure of structural connections.
(d) Grandfathering of non-compliant equipment for use on a specified
rail line or lines.(1) Grandfathering approval is equipment and line
specific. Grandfathering approval of non-compliant equipment under this
paragraph is limited to usage of the equipment on a particular rail line
or lines. Before grandfathered equipment can be used on another rail
line, a railroad must file and secure approval of a grandfathering
petition under paragraph (d)(3) of this section.
(2) Temporary usage of non-compliant equipment. Any passenger
equipment placed in service on a rail line or lines before November 8,
1999 that does not comply with the requirements of paragraph (a)(1) may
continue to be operated on that particular line or (those particular
lines) if the operator of the equipment files a petition seeking
grandfathering approval under paragraph (d)(3) before November 8, 1999.
Such usage may continue while the petition is being processed, but in no
event later than May 8, 2000, unless the petition is approved.
(3) Petitions for grandfathering. Petitions for grandfathering shall
include:
(i) The name, title, address, and telephone number of the primary
person to be contacted with respect to the petition;
(ii) Information, including detailed drawings and material
specifications, sufficient to describe the actual construction of the
equipment;
(iii) Engineering analysis sufficient to describe the likely
performance of the static end strength of the equipment and the likely
performance of the equipment in derailment and collision scenarios
pertinent to the equipment's static end strength;
(iv) A description of risk mitigation measures that will be employed
in connection with the usage of the equipment on a specified rail line
or lines to decrease the likelihood of accidents involving the use of
the equipment; and
(v) A quantitative risk assessment, incorporating the design
information, engineering analysis, and risk mitigation measures
described in this paragraph, demonstrating that the use of the
equipment, as utilized in the service environment for which recognition
is sought, is in the public interest and is consistent with railroad
safety.
(e) Service. Three copies of each petition shall be submitted to the
Associate Administrator for Safety, Federal Railroad Administration,
1120 Vermont Ave., Mail Stop 25, Washington, DC 20590.
(f) Federal Register notice. FRA will publish a notice in the
Federal Register concerning each petition under paragraph (d) of this
section.
[[Page 562]]
(g) Comment. Not later than 30 days from the date of publication of
the notice in the Federal Register concerning a petition under paragraph
(d) of this section, any person may comment on the petition.
(1) Each comment shall set forth specifically the basis upon which
it is made, and contain a concise statement of the interest of the
commenter in the proceeding.
(2) Each comment shall be submitted to the DOT Central Docket
Management System, Nassif Building, Room Pl-401, 400 Seventh Street, SW,
Washington, DC 20590, and shall contain the assigned docket number for
that proceeding. The form of such submission may be in written or
electronic form consistent with the standards and requirements
established by the Central Docket Management System and posted on its
web site at http://dms.dot.gov.
(h) Disposition of petitions.(1) If the Administrator finds it
necessary or desirable, FRA will conduct a hearing on a petition in
accordance with the procedures provided in Sec. 211.25 of this chapter.
(2) If FRA finds that the petition complies with the requirements of
this section and that the proposed usage is in the public interest and
consistent with railroad safety, the petition will be granted, normally
within 90 days of its receipt. If the petition is neither granted nor
denied within 90 days, the petition remains pending for decision. FRA
may attach special conditions to the approval of the petition. Following
the approval of a petition, FRA may reopen consideration of the petition
for cause stated.
(3) If FRA finds that the petition does not comply with the
requirements of this section or that the proposed usage is not in the
public interest and consistent with railroad safety, the petition will
be denied, normally within 90 days of its receipt.
(4) When FRA grants or denies a petition, or reopens consideration
of the petition, written notice is sent to the petitioner and other
interested parties.
[64 FR 25660, May 12, 1999, as amended at 64 FR 70196, Dec. 16, 1999; 67
FR 19991, Apr. 23, 2002]
Sec. 238.205 Anti-climbing mechanism.
(a) Except as provided in paragraph (b) of this section, all
passenger equipment placed in service for the first time on or after
September 8, 2000 shall have at both the forward and rear ends an anti-
climbing mechanism capable of resisting an upward or downward vertical
force of 100,000 pounds without failure. When coupled together in any
combination to join two vehicles, AAR Type H and Type F tight-lock
couplers satisfy this requirement.
(b) Except for a cab car or an MU locomotive, each locomotive
ordered on or after September 8, 2000, or placed in service for the
first time on or after September 9, 2002, shall have an anti-climbing
mechanism at its forward end capable of resisting both an upward and
downward vertical force of 200,000 pounds without failure.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]
Sec. 238.207 Link between coupling mechanism and car body.
All passenger equipment placed in service for the first time on or
after September 8, 2000 shall have a coupler carrier at each end
designed to resist a vertical downward thrust from the coupler shank of
100,000 pounds for any normal horizontal position of the coupler,
without permanent deformation. For passenger equipment that is connected
by articulated joints that comply with the requirements of
Sec. 238.205(a), such passenger equipment also complies with the
requirements of this section.
Sec. 238.209 Forward-facing end structure of locomotives.
The skin covering the forward-facing end of each locomotive shall
be:
(a) Equivalent to a \1/2\ inch steel plate with a 25,000 pounds-per-
square-inch yield strength--material of a higher yield strength may be
used to decrease the required thickness of the material provided at
least an equivalent level of strength is maintained;
(b) Designed to inhibit the entry of fluids into the occupied cab
area of the equipment; and
[[Page 563]]
(c) Affixed to the collision posts or other main vertical structural
members of the forward end structure so as to add to the strength of the
end structure.
(d) As used in this section, the term ``skin'' does not include
forward-facing windows and doors.
Sec. 238.211 Collision posts.
(a) Except as further specified in this paragraph and paragraphs (b)
and (c) of this section--
(1) All passenger equipment placed in service for the first time on
or after September 8, 2000 shall have either:
(i) Two full-height collision posts, located at approximately the
one-third points laterally, at each end. Each collision post shall have
an ultimate longitudinal shear strength of not less than 300,000 pounds
at a point even with the top of the underframe member to which it is
attached. If reinforcement is used to provide the shear value, the
reinforcement shall have full value for a distance of 18 inches up from
the underframe connection and then taper to a point approximately 30
inches above the underframe connection; or
(ii) An equivalent end structure that can withstand the sum of
forces that each collision post in paragraph (a)(1)(i) of this section
is required to withstand. For analysis purposes, the required forces may
be assumed to be evenly distributed at the end structure at the
underframe joint.
(2) The requirements of this paragraph do not apply to unoccupied
passenger equipment operating in a passenger train, or to the rear end
of a locomotive if the end is unoccupied by design.
(b) Each locomotive, including a cab car and an MU locomotive,
ordered on or after September 8, 2000, or placed in service for the
first time on or after September 9, 2002, shall have at its forward end,
in lieu of the structural protection described in paragraph (a) of this
section, either:
(1) Two forward collision posts, located at approximately the one-
third points laterally, each capable of withstanding:
(i) A 500,000-pound longitudinal force at the point even with the
top of the underframe, without exceeding the ultimate strength of the
joint; and
(ii) A 200,000-pound longitudinal force exerted 30 inches above the
joint of the post to the underframe, without exceeding the ultimate
strength; or
(2) An equivalent end structure that can withstand the sum of the
forces that each collision post in paragraph (b)(1)(i) of this section
is required to withstand.
(c) The end structure requirements in paragraphs (a) and (b) of this
section apply only to the ends of a semi-permanently coupled consist of
articulated units, provided that:
(1) The railroad submits to the FRA Associate Administrator for
Safety under the procedures specified in Sec. 238.21 a documented
engineering analysis establishing that the articulated connection is
capable of preventing disengagement and telescoping to the same extent
as equipment satisfying the anti-climbing and collision post
requirements contained in this subpart; and
(2) FRA finds the analysis persuasive.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]
Sec. 238.213 Corner posts.
(a) Each passenger car shall have at each end of the car, placed
ahead of the occupied volume, two full-height corner posts capable of
resisting:
(1) A horizontal load of 150,000 pounds at the point of attachment
to the underframe without failure;
(2) A horizontal load of 20,000 pounds at the point of attachment to
the roof structure without failure; and
(3) A horizontal load of 30,000 pounds applied 18 inches above the
top of the floor without permanent deformation.
(b) For purposes of this section, the orientation of the applied
horizontal loads shall range from longitudinal inward to transverse
inward.
Sec. 238.215 Rollover strength.
(a) Each passenger car shall be designed to rest on its side and be
uniformly supported at the top (``roof rail''), the bottom cords (``side
sill'') of the side frame, and, if bi-level, the intermediate floor
rail. The allowable stress in the structural members of the occupied
volumes for this condition
[[Page 564]]
shall be one-half yield or one-half the critical buckling stress,
whichever is less. Local yielding to the outer skin of the passenger car
is allowed provided that the resulting deformations in no way intrude
upon the occupied volume of the car.
(b) Each passenger car shall also be designed to rest on its roof so
that any damage in occupied areas is limited to roof sheathing and
framing. Other than roof sheathing and framing, the allowable stress in
the structural members of the occupied volumes for this condition shall
be one-half yield or one-half the critical buckling stress, whichever is
less. Deformation to the roof sheathing and framing is allowed to the
extent necessary to permit the vehicle to be supported directly on the
top chords of the side frames and end frames.
Sec. 238.217 Side structure.
Each passenger car shall comply with the following:
(a) Side posts and corner braces.
(1) For modified girder, semi-monocoque, or truss construction, the
sum of the section moduli in inches \3\--about a longitudinal axis,
taken at the weakest horizontal section between the side sill and side
plate--of all posts and braces on each side of the car located between
the body corner posts shall be not less than 0.30 multiplied by the
distance in feet between the centers of end panels.
(2) For modified girder or semi-monocoque construction only, the sum
of the section moduli in inches \3\--about a transverse axis, taken at
the weakest horizontal section between the side sill and side plate--of
all posts, braces and pier panels, to the extent available, on each side
of the car located between body corner posts shall be not less than 0.20
multiplied by the distance in feet between the centers of end panels.
(3) The center of an end panel is the point midway between the
center of the body corner post and the center of the adjacent side post.
(4) The minimum section moduli or thicknesses specified in paragraph
(a) of this section may be adjusted in proportion to the ratio of the
yield strength of the material used to that of mild open-hearth steel
for a car whose structural members are made of a higher strength steel.
(b) Sheathing.
(1) Outside sheathing of mild, open-hearth steel when used flat,
without reinforcement (other than side posts) in a side frame of
modified girder or semi-monocoque construction shall not be less than 1/
8 inch nominal thickness. Other metals may be used of a thickness in
inverse proportion to their yield strengths.
(2) Outside metal sheathing of less than \1/8\ inch thickness may be
used only if it is reinforced so as to produce at least an equivalent
sectional area at a right angle to reinforcements as that of the flat
sheathing specified in paragraph (b)(1) of this section.
(3) When the sheathing used for truss construction serves no load-
carrying function, the minimum thickness of that sheathing shall be not
less than 40 percent of that specified in paragraph (b)(1) of this
section.
Sec. 238.219 Truck-to-car-body attachment.
Passenger equipment shall have a truck-to-car-body attachment with
an ultimate strength sufficient to resist without failure the following
individually applied loads: 2g vertically on the mass of the truck; and
250,000 pounds in any horizontal direction on the truck, along with the
resulting vertical reaction to this load. For purposes of this section,
the mass of the truck includes axles, wheels, bearings, the truck-
mounted brake system, suspension system components, and any other
component attached to the truck by design.
[67 FR 19991, Apr. 23, 2002]
Sec. 238.221 Glazing.
(a) Passenger equipment shall comply with the applicable Safety
Glazing Standards contained in part 223 of this chapter, if required by
that part.
(b) Each exterior window on a locomotive cab and a passenger car
shall remain in place when subjected to:
(1) The forces described in part 223 of this chapter; and
(2) The forces due to air pressure differences caused when two
trains pass
[[Page 565]]
at the minimum separation for two adjacent tracks, while traveling in
opposite directions, each train traveling at the maximum authorized
speed.
Sec. 238.223 Locomotive fuel tanks.
Locomotive fuel tanks shall comply with either the following or an
industry standard providing at least an equivalent level of safety if
approved by FRA under Sec. 238.21:
(a) External fuel tanks. External locomotive fuel tanks shall comply
with the requirements contained in Appendix D to this part.
(b) Internal fuel tanks.
(1) Internal locomotive fuel tanks shall be positioned in a manner
to reduce the likelihood of accidental penetration from roadway debris
or collision.
(2) Internal fuel tank vent systems shall be designed so they do not
become a path of fuel loss in any tank orientation due to a locomotive
overturning.
(3) Internal fuel tank bulkheads and skin shall, at a minimum, be
equivalent to a 5/16-inch thick steel plate with a yield strength of
25,000 pounds per square inch. Material of a higher yield strength may
be used to decrease the required thickness of the material provided at
least an equivalent level of strength is maintained. Skid plates are not
required.
[67 FR 19991, Apr. 23, 2002]
Sec. 238.225 Electrical system.
All passenger equipment shall comply with the following:
(a) Conductors. Conductor sizes shall be selected on the basis of
current-carrying capacity, mechanical strength, temperature, flexibility
requirements, and maximum allowable voltage drop. Current-carrying
capacity shall be derated for grouping and for operating temperature.
(b) Main battery system.
(1) The main battery compartment shall be isolated from the cab and
passenger seating areas by a non-combustible barrier.
(2) Battery chargers shall be designed to protect against
overcharging.
(3) If batteries are of the type to potentially vent explosive
gases, the battery compartment shall be adequately ventilated to prevent
the accumulation of explosive concentrations of these gases.
(c) Power dissipation resistors.
(1) Power dissipating resistors shall be adequately ventilated to
prevent overheating under worst-case operating conditions as determined
by the railroad.
(2) Power dissipation grids shall be designed and installed with
sufficient isolation to prevent combustion.
(3) Resistor elements shall be electrically insulated from resistor
frames, and the frames shall be electrically insulated from the supports
that hold them.
(d) Electromagnetic interference and compatibility. (1) The
operating railroad shall ensure electromagnetic compatibility of the
safety-critical equipment systems with their environment.
Electromagnetic compatibility may be achieved through equipment design
or changes to the operating environment.
(2) The electronic equipment shall not produce electrical noise that
affects the safe performance of train line control and communications or
wayside signaling systems.
(3) To contain electromagnetic interference emissions, suppression
of transients shall be at the source wherever possible.
(4) All electronic equipment shall be self-protected from damage or
improper operation, or both, due to high voltage transients and long-
term over-voltage or under-voltage conditions. This includes protection
from both power frequency and harmonic effects as well as protection
from radio frequency signals into the microwave frequency range.
Sec. 238.227 Suspension system.
On or after November 8, 1999--
(a) All passenger equipment shall exhibit freedom from hunting
oscillations at all operating speeds. If hunting oscillations do occur,
a railroad shall immediately take appropriate action to prevent
derailment. For purposes of this paragraph, hunting oscillations shall
be considered lateral oscillations of trucks that could lead to a
dangerous instability.
[[Page 566]]
(b) All passenger equipment intended for service above 110 mph shall
demonstrate stable operation during pre-revenue service qualification
tests at all operating speeds up to 5 mph in excess of the maximum
intended operating speed under worst-case conditions--including
component wear--as determined by the operating railroad.
(c) Nothing in this section shall affect the requirements of part
213 of this chapter as they apply to passenger equipment as provided in
that part.
Sec. 238.229 Safety appliances.
Except as provided in this part, all passenger equipment continues
to be subject to the safety appliance requirements contained in Federal
statute at 49 U.S.C. chapter 203 and in Federal regulations at part 231
and Sec. 232.2 of this chapter.
Sec. 238.231 Brake system.
Except as otherwise provided in this section, on or after September
9, 1999 the following requirements apply to all passenger equipment and
passenger trains.
(a) A passenger train's primary brake system shall be capable of
stopping the train with a service application from its maximum
authorized operating speed within the signal spacing existing on the
track over which the train is operating.
(b) The brake system design of passenger equipment ordered on or
after September 8, 2000 or placed in service for the first time on or
after September 9, 2002, shall not require an inspector to place himself
or herself on, under, or between components of the equipment to observe
brake actuation or release.
(c) Passenger equipment shall be provided with an emergency brake
application feature that produces an irretrievable stop, using a brake
rate consistent with prevailing adhesion, passenger safety, and brake
system thermal capacity. An emergency brake application shall be
available at any time, and shall be initiated by an unintentional
parting of the train.
(d) A passenger train brake system shall respond as intended to
signals from a train brake control line or lines. Control lines shall be
designed so that failure or breakage of a control line will cause the
brakes to apply or will result in a default to control lines that meet
this requirement.
(e) Introduction of alcohol or other chemicals into the air brake
system of passenger equipment is prohibited.
(f) The operating railroad shall require that the design and
operation of the brake system results in wheels that are free of
condemnable cracks.
(g) Disc brakes shall be designed and operated to produce a surface
temperature no greater than the safe operating temperature recommended
by the disc manufacturer and verified by testing or previous service.
(h) Hand brakes and parking brakes. (1) Except for a locomotive that
is ordered before September 8, 2000 or placed in service for the first
time before Sepbember 9, 2002, and except for MU locomotives, all
locomotives shall be equipped with a hand or parking brake that can:
(i) Be applied or activated by hand;
(ii) Be released by hand; and
(iii) Hold the loaded unit on the maximum grade anticipated by the
operating railroad.
(2) Except for a private car and locomotives addressed in paragraph
(h)(1) of this section, all other passenger equipment, including MU
locomotives, shall be equipped with a hand brake that meets the
requirements for hand brakes contained in part 231 of this chapter and
that can:
(i) Be applied or activated by hand;
(ii) Be released by hand; and
(iii) Hold the loaded unit on the maximum grade anticipated by the
operating railroad.
(3) The air brake shall not be depended upon to hold equipment
standing unattended on a grade (including a locomotive, a car, or a
train whether or not a locomotive is attached). When required, a
sufficient number of hand brakes shall be applied to hold the train or
equipment before the air brakes are released. Any hand brakes applied to
hold equipment shall not be released until it is known that the air
brake system is properly charged.
(i) Passenger cars shall be equipped with a means to apply the
emergency brake that is accessible to passengers and located in the
vestibule or passenger compartment. The emergency
[[Page 567]]
brake shall be clearly identified and marked.
(j) Locomotives ordered after September 8, 2000, or placed in
service for the first time after September 9, 2002, that are equipped
with blended brakes shall be designed so that:
(1) The blending of friction and dynamic brake to obtain the correct
retarding force is automatic;
(2) Loss of power or failure of the dynamic brake does not result in
exceeding the allowable stopping distance;
(3) The friction brake alone is adequate to safely stop the train
under all operating conditions; and
(4) Operation of the friction brake alone does not result in thermal
damage to wheels or disc rotor surface temperatures exceeding the
manufacturer's recommendation.
(k) For new designs of braking systems, the design process shall
include computer modeling or dynamometer simulation of train braking
that shows compliance with paragraphs (f) and (g) of this section over
the range of equipment operating speeds. A new simulation is required
prior to implementing a change in operating parameters.
(l) Locomotives ordered on or after September 8, 2000 or placed in
service for the first time on or after September 9, 2002, shall be
equipped with effective air coolers or dryers that provide air to the
main reservoir with a dew point at least 10 degrees F. below ambient
temperature.
(m) When a passenger train is operated in either direct or graduated
release--
(1) all the cars in the train consist shall be set up in the same
operating mode or
(2) up to two cars may be operated in direct release mode when the
rest of the cars in the train are operated in graduated release mode,
provided that the cars operated in direct release mode are hauled at the
rear of the train consist.
(n) Before adjusting piston travel or working on brake rigging, the
cutout cock in the brake pipe branch must be closed and the air
reservoirs must be voided of all compressed air. When cutout cocks are
provided in brake cylinder pipes, these cutout cocks may be closed, and
air reservoirs need not be voided of all compressed air.
(o) All passenger trains to which this part applies shall comply
with the requirements covering the use of two-way end-of-train devices
contained in part 232 of this chapter.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]
Sec. 238.233 Interior fittings and surfaces.
(a) Each seat in a passenger car shall--
(1) Be securely fastened to the car body so as to withstand an
individually applied acceleration of 4g acting in the lateral direction
and 4g acting in the upward vertical direction on the deadweight of the
seat or seats, if held in tandem; and
(2) Have an attachment to the car body of an ultimate strength
capable of resisting simultaneously:
(i) The longitudinal inertial force of 8g acting on the mass of the
seat; and
(ii) The load associated with the impact into the seatback of an
unrestrained 95th-percentile adult male initially seated behind the
seat, when the floor to which the seat is attached decelerates with a
triangular crash pulse having a peak of 8g and a duration of 250
milliseconds.
(b) Overhead storage racks in a passenger car shall provide
longitudinal and lateral restraint for stowed articles. Overhead storage
racks shall be attached to the car body with sufficient strength to
resist loads due to the following individually applied accelerations
acting on the mass of the luggage stowed as determined by the railroad:
(1) Longitudinal: 8g;
(2) Vertical: 4g; and
(3) Lateral: 4g.
(c) Other interior fittings within a passenger car shall be attached
to the car body with sufficient strength to withstand the following
individually applied accelerations acting on the mass of the fitting:
(1) Longitudinal: 8g;
(2) Vertical: 4g; and
(3) Lateral: 4g.
(d) To the extent possible, all interior fittings in a passenger
car, except seats, shall be recessed or flush-mounted.
[[Page 568]]
(e) Sharp edges and corners in a locomotive cab and a passenger car
shall be either avoided or padded to mitigate the consequences of an
impact with such surfaces.
(f) Each seat provided for a crewmember regularly assigned to occupy
the cab of a locomotive and each floor-mounted seat in the cab shall be
secured to the car body with an attachment having an ultimate strength
capable of withstanding the loads due to the following individually
applied accelerations acting on the combined mass of the seat and a
95th-percentile adult male occupying it:
(1) Longitudinal: 8g;
(2) Lateral: 4g; and
(3) Vertical: 4g.
(g) If, for purposes of showing compliance with the requirements of
this section, the strength of a seat attachment is to be demonstrated
through sled testing, the seat structure and seat attachment to the sled
that is used in such testing must be representative of the actual seat
structure in, and seat attachment to, the rail vehicle subject to the
requirements of this section. If the attachment strength of any other
interior fitting is to be demonstrated through sled testing, for
purposes of showing compliance with the requirements of this section,
such testing shall be conducted in a similar manner.
Sec. 238.235 Doors.
(a) By December 31, 1999, each powered, exterior side door in a
vestibule that is partitioned from the passenger compartment of a
passenger car shall have a manual override device that is:
(1) Capable of releasing the door to permit it to be opened without
power from inside the car;
(2) Located adjacent to the door which it controls; and
(3) Designed and maintained so that a person may readily access and
operate the override device from inside the car without requiring the
use of a tool or other implement. If the door is dual-leafed, only one
of the door leafs is required to respond to the manual override device.
(b) Each passenger car ordered on or after September 8, 2000, or
placed in service for the first time on or after September 9, 2002 shall
have a minimum of two exterior side doors, each door providing a minimum
clear opening with dimensions of 30 inches horizontally by 74 inches
vertically.
Note: The Americans with Disabilities Act (ADA) Accessibility
Specifications for Transportation Vehicles also contain requirements for
doorway clearance (See 49 CFR part 38).
Each powered, exterior side door on each such passenger car shall have a
manual override device that is:
(1) Capable of releasing the door to permit it to be opened without
power from both inside and outside the car;
(2) Located adjacent to the door which it controls; and
(3) Designed and maintained so that a person may access the override
device from both inside and outside the car without requiring the use of
a tool or other implement.
(c) A railroad may protect a manual override device used to open a
powered, exterior door with a cover or a screen capable of removal
without requiring the use of a tool or other implement.
(d) Door exits shall be marked, and instructions provided for their
use, as required by Sec. 239.107(a) of this chapter.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]
Sec. 238.237 Automated monitoring.
(a) Except as further specified in this paragraph, on or after
November 8, 1999 a working alerter or deadman control shall be provided
in the controlling locomotive of each passenger train operating in other
than cab signal, automatic train control, or automatic train stop
territory. If the controlling locomotive is ordered on or after
September 8, 2000, or placed into service for the first time on or after
September 9, 2002, a working alerter shall be provided.
(b) Alerter or deadman control timing shall be set by the operating
railroad taking into consideration maximum train speed and capabilities
of the signal system. The railroad shall document the basis for setting
alerter or deadman control timing and make this documentation available
to FRA upon request.
(c) If the train operator does not respond to the alerter or
maintain proper
[[Page 569]]
contact with the deadman control, it shall initiate a penalty brake
application.
(d) The following procedures apply if the alerter or deadman control
fails en route and causes the locomotive to be in non-compliance with
paragraph (a):
(1)(i) A second person qualified on the signal system and trained to
apply the emergency brake shall be stationed in the locomotive cab; or
(ii) The engineer shall be in constant communication with a second
crewmember until the train reaches the next terminal.
(2)(i) A tag shall be prominently displayed in the locomotive cab to
indicate that the alerter or deadman control is defective, until such
device is repaired; and
(ii) When the train reaches its next terminal or the locomotive
undergoes its next calender day inspection, whichever occurs first, the
alerter or deadman control shall be repaired or the locomotive shall be
removed as the controlling locomotive in the train.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]
Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I
Passenger Equipment
Sec. 238.301 Scope.
(a) This subpart contains requirements pertaining to the inspection,
testing, and maintenance of passenger equipment operating at speeds not
exceeding 125 miles per hour. The requirements in this subpart address
the inspection, testing, and maintenance of the brake system as well as
other mechanical and electrical components covered by this part.
(b) Beginning on January 1, 2002, the requirements contained in this
subpart shall apply to railroads operating Tier I passenger equipment
covered by this part. A railroad may request earlier application of the
requirements contained in this subpart upon written notification to
FRA's Associate Administrator for Safety as provided in Sec. 238.1(c).
(c) Paragraphs (b) and (c) of Sec. 238.309 shall apply beginning
September 9, 1999.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]
Sec. 238.303 Exterior calendar day mechanical inspection of passenger
equipment.
(a) General.
(1) Except as provided in paragraph (f) of this section, each
passenger car and each unpowered vehicle used in a passenger train shall
receive an exterior mechanical inspection at least once each calendar
day that the equipment is placed in service.
(2) Except as provided in paragraph (f) of this section, all
passenger equipment shall be inspected as required in this section at
least once each calendar day that the equipment is placed in service to
ensure that the equipment conforms with the requirement contained in
paragraph (e)(15) of this section.
(3) If a passenger care is also classified as a locomotive under
part 229 of this chapter, the passenger car shall also receive a daily
inspection pursuant to the requirements of Sec. 229.21 of this chapter.
(b) Each passenger car and each unpowered vehicle added to a
passenger train shall receive an exterior calendar day mechanical
inspection in accordance with the following:
(1) Except as provided in paragraph (b)(2) of this section, each
passenger car and each unpowered vehicle added to a passenger train
shall receive an exterior calendar day mechanical inspection at the time
it is added to the train unless notice is provided to the train crew
that an exterior mechanical inspection was performed on the car or
vehicle on the last day it was used in passenger service. The notice
required by this section shall contain the date, time, and location of
the last exterior mechanical inspection;
(2) Each express car, freight car, and each unit of intermodal
equipment (e.g., RoadRailers[reg]) added to a passenger train shall
receive an exterior calendar day mechanical inspection at the time it is
added to the train, unless notice is provided to the train crew that an
exterior mechanical inspection
[[Page 570]]
was performed on the car within the previous calendar day. The notice
required by this section shall contain the date, time, and location of
the last exterior mechanical inspection.
(c) The exterior calendar day mechanical inspection shall be
performed by a qualified maintenance person.
(d) The exterior calendar day mechanical inspection required by this
section shall be conducted to the extent possible without uncoupling the
trainset and without placing the equipment over a pit or on an elevated
track.
(e) As part of the exterior calendar day mechanical inspection, the
railroad shall verify conformity with the following conditions, and
nonconformity with any such condition renders the passenger car or
unpowered vehicle used in a passenger train defective whenever
discovered in service:
(1) Products of combustion are released entirely outside the cab and
other compartments.
(2) Each battery container is vented and each battery is kept from
gassing excessively.
(3) Each coupler is in the following condition:
(i) Sidewall or pin bearing bosses and the pulling face of the
knuckles are not broken or cracked;
(ii) The coupler assembly is equipped with anti-creep protection;
(iii) The coupler carrier is not broken or cracked; and
(iv) The yoke is not broken or cracked.
(4) A device is provided under the lower end of all drawbar pins and
articulated connection pins to prevent the pin from falling out of place
in case of breakage.
(5) The suspension system, including the spring rigging, is in the
following condition:
(i) Protective construction or safety hangers are provided to
prevent spring planks, spring seats, or bolsters from dropping to the
track structure in event of a hanger or spring failure;
(ii) The top (long) leaf or any of the other three leaves of the
elliptical spring is not broken, except when a spring is part of a nest
of three or more springs and none of the other springs in the nest has
its top leaf or any of the other three leaves broken;
(iii) The outer coil spring or saddle is not broken;
(iv) The equalizers, hangers, bolts, gibs, or pins are not cracked
or broken;
(v) The coil spring is not fully compressed when the car is at rest;
(vi) The shock absorber is not broken or leaking oil or other fluid;
and
(vii) Each air bag or other pneumatic suspension system component
inflates or deflates, as applicable, correctly and otherwise operates as
intended.
(6) Each truck is in the following condition:
(i) Each tie bar is not loose;
(ii) Each motor suspension lug, equalizer, hanger, gib, or pin is
not cracked or broken; and
(iii) The truck frame is not broken and is not cracked in a stress
area that may affect its structural integrity.
(7) Each side bearing is in the following condition:
(i) Each friction side bearing with springs designed to carry weight
does not have more than 25 percent of the springs in any one nest
broken;
(ii) Each friction side bearing does not run in contact unless
designed to operate in that manner; and
(iii) The maximum clearance of each side bearing does not exceed the
manufacturer's recommendation.
(8) Each wheel does not have any of the following conditions:
(i) A single flat spot that is 2\1/2\ inches or more in length, or
two adjoining spots that are each two or more inches in length;
(ii) A gouge or chip in the flange that is more than 1\1/2\ inches
in length and \1/2\ inch in width;
(iii) A broken rim, if the tread, measured from the flange at a
point \5/8\ of an inch above the tread, is less than 3\3/4\ inches in
width;
(iv) A shelled-out spot 2\1/2\ inches or more in length, or two
adjoining spots that are each two or more inches in length;
(v) A seam running lengthwise that is within 3\3/4\ inches of the
flange;
(vi) A flange worn to a \7/8\ inch thickness or less, gauged at a
point \3/8\ of an inch above the tread;
(vii) A tread worn hollow \5/16\ of an inch or more;
[[Page 571]]
(viii) A flange height of 1\1/2\ inches or more measured from the
tread to the top of the flange;
(ix) A rim less than 1 inch thick;
(x) Except as provided in paragraph (e)(8)(iii) of this section, a
crack or break in the flange, tread, rim, plate, or hub;
(xi) A loose wheel; or
(xii) A weld.
(9) No part or appliance of a passenger coach, except the wheels, is
less than 2\1/2\ inches above the top of the rail.
(10) Each unguarded, noncurrent-carrying metal part subject to
becoming charged is grounded or thoroughly insulated.
(11) Each jumper and cable connection is in the following condition:
(i) Each jumpers and cable connection between coaches, between
locomotives, or between a locomotive and a coach is located and guarded
in a manner that provides sufficient vertical clearance. Jumpers and
cable connections may not hang with one end free;
(ii) The insulation is not broken or badly chafed;
(iii) No plug, receptacle, or terminal is broken; and
(iv) No strand of wire is broken or protruding.
(12) Each door and cover plate guarding high voltage equipment is
marked ``Danger--High Voltage'' or with the word ``Danger'' and the
normal voltage carried by the parts so protected.
(13) Each buffer plate is in place.
(14) Each diaphragm, if any, is in place and properly aligned.
(15) Each secondary braking system is in operating mode and does not
have any known defective condition which prevents its proper operation.
If the dynamic brakes on a locomotive are found not to be in operating
mode or are known to have a defective condition which prevents their
proper operation at the time that the exterior mechanical inspection is
performed or at any other time while the locomotive is in service, the
following requirements shall be met in order to continue the locomotive
in service:
(i) MU locomotives equipped with dynamic brakes found not to be in
operating mode or containing a defective condition which prevents the
proper operation of the dynamic brakes shall be handled in accordance
with the following requirements:
(A) A tag bearing the words ``inoperative dynamic brakes'' shall be
securely displayed in a conspicuous location in the cab of the
locomotive and contain the locomotive number, the date and location
where the condition was discovered, and the signature of the individual
who discovered the condition;
(B) The locomotive engineer shall be informed in writing that the
dynamic brakes on the locomotive are inoperative at the location where
the locomotive engineer first takes charge of the train; and
(C) The inoperative or defective dynamic brakes shall be repaired or
removed from service by or at the locomotive's next exterior calendar
day mechanical inspection.
(ii) Conventional locomotives equipped with dynamic brakes found not
to be in operating mode or containing a defective condition which
prevents the proper operation of the dynamic brakes shall be handled in
accordance with the following:
(A) A tag bearing the words ``inoperative dynamic brakes'' shall be
securely displayed in a conspicuous location in the cab of the
locomotive and contain the locomotive number, the date and location
where the condition was discovered, and the signature of the person
discovering the condition;
(B) The locomotive engineer shall be informed in writing that the
dynamic brakes on the locomotive are inoperative at the location where
the locomotive engineer first takes charge of the train; and
(C) The inoperative or defective dynamic brakes shall be repaired
within 3 calendar days of being found in defective condition or at the
locomotive's next periodic inspection pursuant to Sec. 229.23 of this
chapter, whichever occurs first.
(16) All roller bearings do not have any of the following
conditions:
(i) A sign of having been overheated as evidenced by discoloration
or other telltale sign of overheating, such as damage to the seal or
distortion of any bearing component;
(ii) A loose or missing cap screw;
[[Page 572]]
(iii) A broken, missing, or improperly applied cap screw lock; or
(iv) A seal that is loose or damaged or permits leakage of lubricant
in clearly formed droplets.
(f) Exception. A long-distance intercity passenger train that misses
a scheduled exterior calendar day mechanical inspection due to a delay
en route may continue in service to the location where the inspection
was scheduled to be performed. At that point, an exterior calendar day
mechanical inspection shall be performed prior to returning the
equipment to service. This flexibility applies only to the exterior
mechanical safety inspections required by this section, and does not
relieve the railroad of the responsibility to perform a calendar day
inspection on a unit classified as a ``locomotive'' under part 229 of
this chapter as required by Sec. 229.21 of this chapter.
(g) Records. A record shall be maintained of each exterior calendar
day mechanical inspection performed.
(1) This record may be maintained in writing or electronically
provided FRA has access to the record upon request.
(2) The written or electronic record must contain the following
information:
(i) The identification number of the unit;
(ii) The place, date, and time of the inspection;
(iii) Any non-complying conditions found; and
(iv) The signature or electronic identification of the inspector.
(3) This record may be part of a single master report covering an
entire group of cars and equipment.
(4) This record shall be maintained at the place where the
inspection is conducted or at one central location and shall be retained
for at least 92 days.
(h) Cars requiring a single car test in accordance with Sec. 238.311
that are being moved in service to a location where the single car test
can be performed shall have the single car test completed prior to, or
as a part of, the exterior calendar day mechanical inspection.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41307, July 3, 2000]
Sec. 238.305 Interior calendar day mechanical inspection of passenger
cars.
(a) Except as provided in paragraph (d) of this section, each
passenger car shall receive an interior mechanical inspection at least
once each calendar day that it is placed in service.
(b) The interior calendar day mechanical inspection shall be
performed by a qualified person or a qualified maintenance person.
(c) As part of the interior calendar day mechanical inspection, the
railroad shall verify conformity with the following conditions, and
nonconformity with any such condition renders the car defective whenever
discovered in service, except as provided in paragraphs (c)(5) through
(c)(10), and paragraph (d) of this section:
(1) All fan openings, exposed gears and pinions, exposed moving
parts of mechanisms, pipes carrying hot gases and high-voltage
equipment, switches, circuit breakers, contactors, relays, grid
resistors, and fuses are installed in non-hazardous locations or
equipped with guards to prevent personal injury.
(2) Floors of passageways and compartments are free from oil, water,
waste, or any obstruction that creates a slipping, tripping, or fire
hazard, and floors are properly treated to provide secure footing.
(3) All D rings, pull handles, or other means to access manual door
releases are in place based on a visual inspection.
(4) All emergency equipment, including a fire extinguisher, pry bar,
auxiliary portable lighting, and first aid kits, as applicable, are in
place.
(5) The words ``Emergency Brake Valve'' are legibly stenciled or
marked near each brake pipe valve or shown on an adjacent badge plate.
(6) All doors and cover plates guarding high voltage equipment are
marked ``Danger--High Voltage'' or with the word ``Danger'' and the
normal voltage carried by the parts so protected.
(7) All safety-related signage is in place and legible.
(8) All trap doors safely operate and securely latch in place in
both the up and down position. A non-complying car may continue in
passenger service
[[Page 573]]
pursuant to paragraph (d) of this section, if the trap door can be
secured by locking out the door for which it is used.
(9) All vestibule steps are illuminated. A non-complying car may
continue in passenger service pursuant to paragraph (d) of this section,
if the car will be used solely in high-platform service.
(10) All end doors and side doors operate safely and as intended. A
non-complying car may continue in passenger service pursuant to
paragraph (d) of this section, if at least one operative and accessible
door is available on each side of the car; and a notice is prominently
displayed directly on the defective door indicating that the door is
defective.
(d) Any passenger car found not to be in compliance with the
requirements contained in paragraphs (c)(5) through (c)(10) of this
section at the time of its interior calendar day mechanical inspection
may remain in passenger service until the car's next interior calendar
day mechanical inspection where it must be repaired or removed from
passenger service; provided, all of the specific conditions contained in
paragraphs (c)(8) through (c)(10) of this section are met and all of the
following requirements are met:
(1) A qualified person or a qualified maintenance person determines
that the repairs necessary to bring the car into compliance cannot be
performed at the time that the current day's interior mechanical
inspection is conducted;
(2) A qualified person or a qualified maintenance person determines
that it is safe to move the equipment in passenger service; and
(3) A record is maintained of the non-complying condition with the
date and time that the condition was first discovered.
(e) A long-distance intercity passenger train that misses a
scheduled calendar day interior mechanical inspection due to a delay en
route may continue in service to the location where the inspection was
scheduled to be performed. At that point, an interior calendar day
mechanical inspection shall be performed prior to returning the
equipment to service.
(f) Records. A record shall be maintained of each interior calendar
day mechanical inspection performed.
(1) This record may be maintained in writing or electronically
provided FRA has access to the record upon request.
(2) The written or electronic record must contain the following
information:
(i) The identification number of the unit;
(ii) The place, date, and time of the inspection;
(iii) Any non-complying conditions found; and
(iv) The signature or electronic identification of the inspector.
(3) This record may be part of a single master report covering an
entire group of cars and equipment.
(4) This record shall be maintained at the place where the
inspection is conducted or at one central location and shall be retained
for at least 92 days.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41308, July 3, 2000]
Sec. 238.307 Periodic mechanical inspection of passenger cars and
unpowered vehicles used in passenger trains.
(a) General.
(1) Railroads shall conduct periodic mechanical inspections of all
passenger cars and all unpowered vehicles used in a passenger train as
required by this section or as warranted and justified by data developed
pursuant to paragraph (a)(2) of this section. A periodic inspection
conducted under part 229 of this chapter satisfies the requirement of
this section with respect to the features inspected.
(2) A railroad may, upon written notification to FRA's Associate
Administrator for Safety, adopt and comply with alternative periodic
mechanical inspection intervals for specific components or equipment in
lieu of the requirements of this section. Any alternative interval must
be based upon a documented reliability assessment conducted under a
system safety plan subject to periodic peer audit. (See Appendix E to
this part for a discussion of the general principles of reliability-
based maintenance programs.) The periodic inspection intervals provided
in this section may be changed only
[[Page 574]]
when justified by accumulated, verifiable data that provides a high
level of confidence that the component(s) will not fail in a manner
resulting in harm to persons. FRA may monitor and review a railroad's
implementation and compliance with any alternative interval adopted.
FRA's Associate Administrator for Safety may prohibit or revoke a
railroad's ability to utilize an alternative inspection interval if FRA
determines that the adopted interval is not supported by credible data
or does not provide adequate safety assurances. Such a determination
will be made in writing and will state the basis for such action.
(b) Each periodic mechanical inspection required by this section
shall be performed by a qualified maintenance person.
(c) The periodic mechanical inspection shall specifically include
the following interior and exterior mechanical components, which shall
be inspected not less frequently than every 184 days. At a minimum, this
inspection shall determine that:
(1) Seats and seat attachments are not broken or loose. If a car is
found with a seat that is not in compliance with this requirement while
being used between periodic mechanical inspections, the equipment may
continue to be used in passenger service until the performance of an
interior calendar day mechanical inspection pursuant to Sec. 238.305 on
the day following the discovery of the defective condition provided the
seat is rendered unuseable, a notice is prominently displayed on the
seat, and a record is maintained with the date and time that the non-
complying condition was discovered.
(2) Luggage racks are not broken or loose.
(3) All beds and bunks are not broken or loose, and all restraints
or safety latches and straps are in place and function as intended.
(4) A representative sample of emergency window exits on the
railroad's passenger cars properly operate, in accordance with the
requirements of Sec. 239.107 of this chapter.
(5) Emergency lighting systems are operational.
(6) With regard to switches:
(i) All hand-operated switches carrying currents with a potential of
more than 150 volts that may be operated while under load are covered
and are operative from the outside of the cover;
(ii) A means is provided to display whether the switches are open or
closed; and
(iii) Switches not designed to be operated safely while under load
are legibly marked with the voltage carried and the words ``must not be
operated under load''.
(7) Each coupler is in the following condition:
(i) The distance between the guard arm and the knuckle nose is not
more than 5\1/8\ inches on standard type couplers (MCB contour 1904), or
not more than 5\5/16\ inches on D&E couplers;
(ii) The free slack in the coupler or drawbar not absorbed by
friction devices or draft gears is not more than \1/2\ inch; and
(iii) The draft gear is not broken, to the extent possible without
dropping cover plates.
(8) All trucks are equipped with a device or securing arrangement to
prevent the truck and car body from separating in case of derailment.
(9) All center castings on trucks are not cracked or broken, to the
extent possible without jacking the car and rolling out the trucks.
However, an extensive inspection of all center castings shall be
conducted by jacking the equipment and rolling out the trucks at each
COT&S cycle provided in Sec. 238.309 for the equipment.
(10) All mechanical systems and components of the equipment are free
of all the following general conditions that endanger the safety of the
crew, passengers, or equipment:
(i) A continuous accumulation of oil or grease;
(ii) Improper functioning of a component;
(iii) A crack, break, excessive wear, structural defect, or weakness
of a component;
(iv) A leak;
(v) Use of a component or system under a condition that exceeds that
for which the component or system is designed to operate; and
(vi) Insecure attachment of a component.
[[Page 575]]
(11) All of the items identified in the exterior calendar day
mechanical inspection contained at Sec. 238.303 are in conformity with
the conditions prescribed in that section.
(12) All of the items identified in the interior calendar day
mechanical inspection contained at Sec. 238.305 are in conformity with
the conditions prescribed in that section.
(d) The periodic mechanical inspection shall specifically include
the manual door releases, which shall be inspected not less frequently
than every 368 days. At a minimum, this inspection shall determine that
all manual door releases operate as intended.
(e) Records. (1) A record shall be maintained of each periodic
mechanical inspection required to be performed by this section. This
record may be maintained in writing or electronically, provided FRA has
access to the record upon request. The record shall be maintained either
in the railroad's files, the cab of the locomotive, or a designated
location in the passenger car. The record shall be retained until the
next periodic mechanical inspection of the same type is performed and
shall contain the following information:
(i) The date of the inspection;
(ii) The location where the inspection was performed;
(iii) The signature or electronic identification of the inspector;
and
(iv) The signature or electronic identification of the inspector's
supervisor.
(2) Detailed documentation of any reliability assessments depended
upon for implementing an alternative inspection interval under paragraph
(a)(2) of this section, including underlying data, shall be retained
during the period that the alternative inspection interval is in effect.
Data documenting inspections, tests, component replacement and renewals,
and failures shall be retained for not less than three (3) inspection
intervals.
(f) Nonconformity with any of the conditions set forth in this
section renders the car or vehicle defective whenever discovered in
service.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41308, July 3, 2000]
Sec. 238.309 Periodic brake equipment maintenance.
(a) General. (1) This section contains the minimum intervals at
which the brake equipment on various types of passenger equipment shall
be periodically cleaned, repaired, and tested. This maintenance
procedure requires that all of the equipment's brake system pneumatic
components that contain moving parts and are sealed against air leaks be
removed from the equipment, disassembled, cleaned, and lubricated and
that the parts that can deteriorate with age be replaced.
(2) A railroad may petition FRA's Associate Administrator for Safety
to approve alternative maintenance procedures providing equivalent
safety, in lieu of the requirements of this section. The petition shall
be filed as provided in Sec. 238.21.
(b) MU locomotives. The brake equipment of each MU locomotive shall
be cleaned, repaired, and tested at intervals in accordance with the
following schedule:
(1) Every 736 days if the MU locomotive is part of a fleet that is
not 100 percent equipped with air dryers;
(2) Every 1,104 days if the MU locomotive is part of a fleet that is
100 percent equipped with air dryers and is equipped with PS-68, 26-C,
26-L, PS-90, CS-1, RT-2, RT-5A, GRB-1, CS-2, or 26-R brake systems.
(This listing of brake system types is intended to subsume all brake
systems using 26 type, ABD, or ABDW control valves and PS68, PS-90, 26B-
1, 26C, 26CE, 26-B1, 30CDW, or 30ECDW engineer's brake valves.); and
(3) Every 736 days for all other MU locomotives.
(c) Conventional locomotives. The brake equipment of each
conventional locomotive shall be cleaned, repaired, and tested at
intervals in accordance with the following schedule:
(1) Every 1,104 days for a locomotive equipped with a 26-L or
equivalent brake system; and
(2) Every 736 days for a locomotive equipped with other than a 26-L
or equivalent brake system.
(d) Passenger coaches and other unpowered vehicles. The brake
equipment on each passenger coach and each unpowered vehicle used in a
passenger train shall be cleaned, repaired, and
[[Page 576]]
tested at intervals in accordance with following schedule:
(1) Every 2,208 days for a coach or vehicle equipped with an AB-type
brake system.
(2) Every 1,476 days for a coach or vehicle equipped with a 26-C or
equivalent brake system; and
(3) Every 1,104 days for a coach or vehicle equipped with other than
an AB, ABD, ABDX, 26-C, or equivalent brake system.
(e) Cab cars. The brake equipment of each cab car shall be cleaned,
repaired, and tested at intervals in accordance with the following
schedule:
(1) Every 1,476 days for that portion of the cab car brake system
using brake valves that are identical to the passenger coach 26-C brake
system;
(2) Every 1,104 days for that portion of the cab car brake system
using brake valves that are identical to the locomotive 26-L brake
system; and
(3) Every 736 days for all other types of cab car brake valves.
(f) Records of periodic maintenance.
(1) The date and place of the cleaning, repairing, and testing
required by this section shall be recorded on Form FRA 6180-49A or a
similar form developed by the railroad containing the same information,
and the person performing the work and that person's supervisor shall
sign the form, if possible. Alternatively, the railroad may stencil the
vehicle with the date and place of the cleaning, repairing, and testing
and maintain an electronic record of the person performing the work and
that person's supervisor.
(2) A record of the parts of the air brake system that are cleaned,
repaired, and tested shall be kept in the railroad's files, the cab of
the locomotive, or a designated location in the passenger car until the
next such periodic test is performed.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000]
Sec. 238.311 Single car test.
(a) Except for self-propelled passenger cars, single car tests of
all passenger cars and all unpowered vehicles used in passenger trains
shall be performed in accordance with either APTA Standard SS-M-005-98,
``Code of Tests for Passenger Car Equipment Using Single Car Testing
Device,'' published March, 1998; or an alternative procedure approved by
FRA pursuant to Sec. 238.21. The incorporation by reference of this APTA
standard was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy
of the incorporated document from the American Public Transit
Association, 1201 New York Avenue, NW., Washington, DC 20005. You may
inspect a copy of the document at the Federal Railroad Administration,
Docket Clerk, 1120 Vermont Avenue, NW., Suite 7000, Washington, DC or at
the Office of the Federal Register, 800 North Capitol Street, NW., Suite
700, Washington, DC.
(b) Each single car test required by this section shall be performed
by a qualified maintenance person.
(c) A railroad shall perform a single car test of the brake system
of a car or vehicle described in paragraph (a) of this section if the
car or vehicle is found with one or more of the following wheel defects:
(1) Built-up tread;
(2) Slid flat wheel;
(3) Thermal crack;
(4) Overheated wheel; or
(5) Shelling.
(d) A railroad need not perform the single car test required in
paragraph (c) of this section, if the railroad can establish that the
wheel defect is other than built-up tread and is due to a cause other
than a defective brake system on the car.
(e) Except as provided in paragraph (f) of this section, a railroad
shall perform a single car test of the brake system of a car or vehicle
described in paragraph (a) of this section when:
(1) Except for private cars, a car or vehicle is placed in service
after having been out of service for 30 days or more; or
(2) One or more of the following conventional air brake equipment
items is removed, repaired, or replaced:
(i) Relay valve;
(ii) Service portion;
(iii) Emergency portion; or
(iv) Pipe bracket.
(f) Exception. If the single car test cannot be made at the point
where repairs are made, the car may be moved
[[Page 577]]
in passenger service to the next forward location where the test can be
made. A railroad may move a car in this fashion only after visually
verifying an application and release of the brakes on both sides of the
car that was repaired, and provided that the car is appropriately tagged
to indicate the need to perform a single car test. The single car test
shall be completed prior to, or as a part of, the car's next calendar
day mechanical inspection.
(g) If one or more of the following conventional air brake equipment
items is removed, repaired, or replaced only that portion which is
renewed or replaced must be tested to satisfy the provisions of this
section:
(1) Brake reservoir;
(2) Brake cylinder;
(3) Piston assembly;
(4) Vent valve;
(5) Quick service valve;
(6) Brake cylinder release valve;
(7) Modulating valve or slack adjuster; or
(8) Angle cock or cutout cock.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000]
Sec. 238.313 Class I brake test.
(a) Each commuter and short-distance intercity passenger train shall
receive a Class I brake test once each calendar day that the train is
placed or continues in passenger service.
(b) Except as provided in paragraph (i) of this section, each long-
distance intercity passenger train shall receive a Class I brake test:
(1) Prior to the train's departure from an originating terminal; and
(2) Every 1,500 miles or once each additional calendar day,
whichever occurs first, that the train remains in continuous passenger
service.
(c) Each passenger car and each unpowered vehicle added to a
passenger train shall receive a Class I or Class IA brake test at the
time it is added to the train unless notice is provided to the train
crew that a Class I brake test was performed on the car within the
previous calendar day and the car has not been disconnected from a
source of compressed air for more than four hours prior to being added
to the train. The notice required by this section shall contain the
date, time, and location of the last Class I brake test.
(d) Each Class I brake test shall be performed by a qualified
maintenance person.
(e) Each Class I brake test may be performed either separately or in
conjunction with the exterior calendar day mechanical inspection
required under Sec. 238.303.
(f) Except as provided in Sec. 238.15(b), a railroad shall not use
or haul a passenger train in passenger service from a location where a
Class I brake test has been performed, or was required by this part to
have been performed, with less than 100 percent operative brakes.
(g) A Class I brake test shall be performed at the air pressure at
which the train's air brakes will be operated, but not less than 90 psi,
and shall be made to determine and ensure that:
(1) The friction brakes apply and remain applied on each car in the
train until a release of the brakes has been initiated on each car in
response to train line electric, pneumatic, or other signals. This test
shall include a verification that each side of each car's brake system
responds properly to application and release signals;
(2) The brake shoes or pads are firmly seated against the wheel or
disc with the brakes applied;
(3) Piston travel is within prescribed limits, either by direct
observation, observation of an actuator, or in the case of tread brakes
by determining that the brake shoe provides pressure to the wheel. For
vehicles equipped with 8\1/2\-inch or 10-inch diameter brake cylinders,
piston travel shall be within 7 to 9 inches. If piston travel is found
to be less than 7 inches or more than 9 inches, it must be adjusted to
nominally 7\1/2\ inches. Proper release of the brakes can be determined
by observation of the clearance between the brake shoe and the wheel or
between the brake pad and the brake disc.
(4) The communicating signal system is tested and known to be
operating as intended; a tested and operating two-way radio system meets
this requirement;
(5) Each brake shoe or pad is securely fastened and correctly
aligned in relation to the wheel or to the disc;
[[Page 578]]
(6) The engineer's brake valve or controller will cause the proper
train line commands for each position or brake level setting;
(7) Brake pipe leakage does not exceed 5 pounds per square inch per
minute if leakage will affect service performance;
(8) The emergency brake application and deadman pedal or other
emergency control devices function as intended;
(9) Each brake shoe or pad is not below the minimum thickness
established by the railroad. This thickness shall not be less than the
minimum thickness necessary to safely travel the maximum distance
allowed between Class I brake tests;
(10) Each angle cock and cutout cock is properly positioned;
(11) The brake rigging or the system mounted on the car for the
transmission of the braking force operates as intended and does not bind
or foul so as to impede the force delivered to a brake shoe, impede the
release of a brake shoe, or otherwise adversely affect the operation of
the brake system;
(12) If the train is equipped with electropneumatic brakes, an
electropneumatic application of the brakes is made and the train is
walked to determine that the brakes on each car in the train properly
apply;
(13) Each brake disc is free of any crack in accordance with the
manufacturer's specifications or, if no specifications exist, free of
any crack to the extent that the design permits;
(14) If the equipment is provided with a brake indicator, the brake
indicator operates as intended; and
(15) The communication of brake pipe pressure changes at the rear of
the train is verified, which may be accomplished by observation of an
application and release of the brakes on the last car in the train.
(h) Records. A record shall be maintained of each Class I brake test
performed.
(1) This record may be maintained in writing or electronically,
provided FRA has access to the record upon request.
(2) The written or electronic record must contain the following
information:
(i) The date and time that the Class I brake test was performed;
(ii) The location where the test was performed;
(iii) The identification number of the controlling locomotive of the
train;
(iv) The total number of cars inspected during the test; and
(v) The signature or electronic identification of the inspector.
(3) This record shall be maintained at the place where the
inspection is conducted or at one central location and shall be retained
for at least 92 days.
(i) A long-distance, intercity passenger train that misses a
scheduled calendar day Class I brake test due to a delay en route may
proceed to the point where the Class I brake test was scheduled to be
performed. A Class I brake test shall be completed at that point prior
to placing the train back in service.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41309, July 3, 2000]
Sec. 238.315 Class IA brake test.
(a) Except as provided in paragraph (b) of this section, either a
Class I or a Class IA brake test shall be performed:
(1) Prior to the first morning departure of each commuter or short-
distance intercity passenger train, unless all of the following
conditions are satisfied:
(i) A Class I brake test was performed within the previous twelve
(12) hours;
(ii) The train has not been used in passenger service since the
performance of the Class I brake test; and
(iii) The train has not been disconnected from a source of
compressed air for more than four hours since the performance of the
Class I brake test; and
(2) Prior to placing a train in service that has been off a source
of compressed air for more than four hours.
(b) A commuter or short-distance intercity passenger train that
provides continuing late night service that began prior to midnight may
complete its daily operating cycle after midnight without performing
another Class I or Class IA brake test. A Class I or Class IA brake test
shall be performed on such a train before it starts a new daily
operating cycle.
(c) A Class IA brake test may be performed at a shop or yard site
and is not
[[Page 579]]
required to be repeated at the first passenger terminal if the train
remains on a source of compressed air and:
(1) The train remains in the custody of the train crew; or
(2) The train crew receives notice that the Class IA brake test has
been performed.
(d) The Class IA brake test shall be performed by either a qualified
person or a qualified maintenance person.
(e) Except as provided in Sec. 238.15(b), a railroad shall not use
or haul a passenger train in passenger service from a location where a
Class IA brake test has been performed, or was required by this part to
have been performed, with less than 100 percent operative brakes.
(f) A Class IA brake test shall be performed at the air pressure at
which the train's air brakes will be operated and shall determine and
ensure that:
(1) Brake pipe leakage does not exceed 5 pounds per square inch per
minute if brake pipe leakage will affect service performance;
(2) Each brake sets and releases by inspecting in the manner
described in paragraph (g) of this section;
(3) For MU locomotives that utilize an electric signal to
communicate a service brake application and only a pneumatic signal to
propagate an emergency brake application, the emergency brake
application functions as intended.
(4) Each angle cock and cutout cock is properly set;
(5) The communication of brake pipe pressure changes at the rear of
the train is verified, which may be accomplished by observation of an
application and release of the brakes on the last car in the train; and
(6) The communicating signal system is tested and known to be
operating as intended; a tested and operating two-way radio system meets
this requirement.
(g) In determining whether each brake sets and releases--
(1) The inspection of the set and release of the brakes shall be
completed by walking the train to directly observe the set and release
of each brake, if the railroad determines that such a procedure is safe.
(2) If the railroad determines that operating conditions pose a
safety hazard to an inspector walking the brakes, brake indicators may
be used to verify the set and release on cars so equipped. However, the
observation of the brake indicators shall not be made from the cab of
the locomotive. The inspector shall walk the train in order to position
himself or herself to accurately observe each indicator.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67
FR 19991, Apr. 23, 2002]
Sec. 238.317 Class II brake test.
(a) A Class II brake test shall be performed on a passenger train
when any of the following events occurs:
(1) Whenever the control stand used to control the train is changed;
except if the control stand is changed to facilitate the movement of a
passenger train from one track to another within a terminal complex
while not in passenger service. In these circumstances, a Class II brake
test shall be performed prior to the train's departure from the terminal
complex with passengers;
(2) Prior to the first morning departure of each commuter or short-
distance intercity passenger train where a Class I brake test remains
valid as provided in Sec. 238.315(a)(1);
(3) When previously tested units (i.e., cars that received a Class I
brake test within the previous calendar day and have not been
disconnected from a source of compressed air for more than four hours)
are added to the train;
(4) When cars or equipment are removed from the train; and
(5) When an operator first takes charge of the train, except for
face-to-face relief.
(b) A Class II brake test shall be performed by a qualified person
or a qualified maintenance person.
(c) Except as provided in Sec. 238.15, a railroad shall not use or
haul a passenger train in passenger service from a terminal or yard
where a Class II brake test has been performed, or was required by this
part to have been performed, with any of the brakes cut-out,
inoperative, or defective.
(d) In performing a Class II brake test on a train, a railroad shall
determine that:
(1) The brakes on the rear unit of the train apply and release in
response to a
[[Page 580]]
signal from the engineer's brake valve or controller of the leading or
controlling unit, or a gauge or similar device located at the rear of
the train or in the cab of the rear unit indicates that brake pipe
pressure changes are properly communicated at the rear of the train;
(2) For MU locomotives that utilize an electric signal to
communicate a service brake application and only a pneumatic signal to
propagate an emergency brake application, the emergency brake
application functions as intended.
(3) The communicating signal system is tested and known to be
operating as intended; a tested and operating two-way radio system meets
this requirement.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67
FR 19991, Apr. 23, 2002]
Sec. 238.319 Running brake test.
(a) As soon as conditions safely permit, a running brake test shall
be performed on each passenger train after the train has received, or
was required under this part to have received, either a Class I, Class
IA, or Class II brake test.
(b) A running brake test shall be performed whenever the control
stand used to control the train is changed to facilitate the movement of
a passenger train from one track to another within a terminal complex
while not in passenger service.
(c) The running brake test shall be conducted in accordance with the
railroad's established operating rules, and shall be made by applying
brakes in a manner that allows the engineer to ascertain whether the
brakes are operating properly.
(d) If the engineer determines that the brakes are not operating
properly, the engineer shall stop the train and follow the procedures
provided in Sec. 238.15.
Subpart E--Specific Requirements for Tier II Passenger Equipment
Sec. 238.401 Scope.
This subpart contains specific requirements for railroad passenger
equipment operating at speeds exceeding 125 mph but not exceeding 150
mph. The requirements of this subpart apply beginning on September 9,
1999. As stated in Sec. 238.433(b), all such passenger equipment remains
subject to the requirements concerning couplers and uncoupling devices
contained in Federal statute at 49 U.S.C. chapter 203 and in FRA
regulations at part 231 and Sec. 232.2 of this chapter.
Sec. 238.403 Crash energy management.
(a) Each power car and trailer car shall be designed with a crash
energy management system to dissipate kinetic energy during a collision.
The crash energy management system shall provide a controlled
deformation and collapse of designated sections within the unoccupied
volumes to absorb collision energy and to reduce the decelerations on
passengers and crewmembers resulting from dynamic forces transmitted to
occupied volumes.
(b) The design of each unit shall consist of an occupied volume
located between two normally unoccupied volumes. Where practical,
sections within the unoccupied volumes shall be designed to be
structurally weaker than the occupied volume. During a collision, the
designated sections within the unoccupied volumes shall start to deform
and eventually collapse in a controlled fashion to dissipate energy
before any structural damage occurs to the occupied volume.
(c) At a minimum, each Tier II passenger train shall be designed to
meet the following requirements:
(1) Thirteen megajoules (MJ) shall be absorbed at each end of the
train through the controlled crushing of unoccupied volumes, and of this
amount a minimum of 5 MJ shall be absorbed ahead of the operator's cab
in each power car;
(2) A minimum of an additional 3 MJ shall be absorbed by the power
car structure between the operator's cab and the first trailer car; and
(3) The end of the first trailer car adjacent to each power car
shall absorb a minimum of 5 MJ through controlled crushing.
[[Page 581]]
(d) For a 30-mph collision of a Tier II passenger train on tangent,
level track with an identical stationary train:
(1) When seated anywhere in a trailer car, the velocity at which a
50th-percentile adult male contacts the seat back ahead of him shall not
exceed 25 mph; and
(2) The deceleration of the occupied volumes of each trailer car
shall not exceed 8g. For the purpose of demonstrating compliance with
this paragraph, deceleration measurements may be processed through a
low-pass filter having a bandwidth of 50 Hz.
(e) Compliance with paragraphs (a) through (d) of this section shall
be demonstrated by analysis using a dynamic collision computer model.
For the purpose of demonstrating compliance, the following assumptions
shall be made:
(1) The train remains upright, in line, and with all wheels on the
track throughout the collision; and
(2) Resistance to structural crushing follows the force-versus-
displacement relationship determined during the structural analysis
required as part of the design of the train.
(f) Passenger seating shall not be permitted in the leading unit of
a Tier II passenger train.
Sec. 238.405 Longitudinal static compressive strength.
(a) To form an effective crash refuge for crewmembers occupying the
cab of a power car, the underframe of the cab of a power car shall
resist a minimum longitudinal static compressive force of 2,100,000
pounds without permanent deformation to the cab, unless equivalent
protection to crewmembers is provided under an alternate design
approach, validated through analysis and testing, and approved by FRA
under the provisions of Sec. 238.21.
(b) The underframe of the occupied volume of each trailer car shall
resist a minimum longitudinal static compressive force of 800,000 pounds
without permanent deformation to the car. To demonstrate compliance with
this requirement, the 800,000-pound load shall be applied to the
underframe of the occupied volume as it would be transmitted to the
underframe by the full structure of the vehicle.
(c) Unoccupied volumes of a power car or a trailer car designed to
crush as part of the crash energy management design are not subject to
the requirements of this section.
Sec. 238.407 Anti-climbing mechanism.
(a) Each power car shall have an anti-climbing mechanism at its
forward end capable of resisting an ultimate upward or downward static
vertical force of 200,000 pounds. A power car constructed with a crash
energy management design is permitted to crush in a controlled manner
before the anti-climbing mechanism fully engages.
(b) Interior train coupling points between units, including between
units of articulated cars or other permanently joined units of cars,
shall have an anti-climbing mechanism capable of resisting an upward or
downward vertical force of 100,000 pounds without yielding.
(c) The forward coupler of a power car shall be attached to the car
body to resist a vertical downward force of 100,000 pounds for any
horizontal position of the coupler without yielding.
Sec. 238.409 Forward end structures of power car cabs.
This section contains requirements for the forward end structure of
the cab of a power car. (A conceptual implementation of this end
structure is provided in Figure 1 to this subpart.)
(a) Center collision post. The forward end structure shall have a
full-height center collision post, or its structural equivalent, capable
of withstanding the following:
(1) A shear load of 500,000 pounds at its joint with the underframe
without exceeding the ultimate strength of the joint;
(2) A shear load of 150,000 pounds at its joint with the roof
without exceeding the ultimate strength of the joint; and
(3) A horizontal, longitudinal force of 300,000 pounds, applied at a
point on level with the bottom of the windshield, without exceeding its
ultimate strength.
[[Page 582]]
(b) Side collision posts. The forward end structure shall have two
side collision posts, or their structural equivalent, located at
approximately the one-third points laterally, each capable of
withstanding the following:
(1) A shear load of 500,000 pounds at its joint with the underframe
without exceeding the ultimate strength of the joint; and
(2) A horizontal, longitudinal force of 300,000 pounds, applied at a
point on level with the bottom of the windshield, without exceeding its
ultimate strength.
(c) Corner posts. The forward end structure shall have two full-
height corner posts, or their structural equivalent, each capable of
withstanding the following:
(1) A horizontal, longitudinal or lateral shear load of 300,000
pounds at its joint with the underframe, without exceeding the ultimate
strength of the joint;
(2) A horizontal, lateral force of 100,000 pounds applied at a point
30 inches up from the underframe attachment, without exceeding the yield
or the critical buckling stress; and
(3) A horizontal, longitudinal or lateral shear load of 80,000
pounds at its joint with the roof, without exceeding the ultimate
strength of the joint.
(d) Skin. The skin covering the forward-facing end of each power car
shall be:
(1) Equivalent to a \1/2\-inch steel plate with a 25,000 pounds-per-
square-inch yield strength--material of a higher yield strength may be
used to decrease the required thickness of the material provided at
least an equivalent level of strength is maintained;
(2) Securely attached to the end structure; and
(3) Sealed to prevent the entry of fluids into the occupied cab area
of the equipment. As used in paragraph (d), the term ``skin'' does not
include forward-facing windows and doors.
Sec. 238.411 Rear end structures of power car cabs.
The rear end structure of the cab of a power car shall be designed
to include the following elements, or their structural equivalent. (A
conceptual implementation of this end structure is provided in Figure 2
to this subpart.)
(a) Corner posts. The rear end structure shall have two full-height
corner posts, or their structural equivalent, each capable of
withstanding the following:
(1) A horizontal, longitudinal or lateral shear load of 300,000
pounds at its joint with the underframe without exceeding the ultimate
strength of the joint; and
(2) A horizontal, longitudinal or lateral shear load of 80,000
pounds at its joint with the roof without exceeding the ultimate
strength of the joint.
(b) Collision posts. The rear end structure shall have two full-
height collision posts, or their structural equivalent, each capable of
withstanding the following:
(1) A horizontal, longitudinal shear load of 500,000 pounds at its
joint with the underframe without exceeding the ultimate strength of the
joint; and
(2) A horizontal, longitudinal shear load of 75,000 pounds at its
joint with the roof without exceeding the ultimate strength of the
joint.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19991, Apr. 23, 2002]
Sec. 238.413 End structures of trailer cars.
(a) Except as provided in paragraph (b) of this section, the end
structure of a trailer car shall be designed to include the following
elements, or their structural equivalent. (A conceptual implementation
of this end structure is provided in Figure 3 to this subpart.)
(1) Corner posts. Two full-height corner posts, each capable of
withstanding the following:
(i) A horizontal, longitudinal shear load of 150,000 pounds at its
joint with the underframe without exceeding the ultimate strength of the
joint;
(ii) A horizontal, longitudinal or lateral force of 30,000 pounds
applied at a point 18 inches up from the underframe attachment without
exceeding the yield or the critical buckling stress; and
(iii) A horizontal, longitudinal or lateral shear load of 20,000
pounds at its joint with the roof without exceeding the ultimate
strength of the joint.
[[Page 583]]
(2) Collision posts. Two full-height collision posts each capable of
withstanding the following:
(i) A horizontal, longitudinal shear load of 300,000 pounds at its
joint with the underframe without exceeding the ultimate strength of the
joint; and
(ii) A horizontal, longitudinal shear load of 60,000 pounds at its
joint with the roof without exceeding the ultimate strength of the
joint.
(b) If the trailer car is designed with an end vestibule, the end
structure inboard of the vestibule shall have two full-height corner
posts, or their structural equivalent, each capable of withstanding the
following (A conceptual implementation of this end structure is provided
in Figure 4 to this subpart):
(1) A horizontal, longitudinal shear load of 200,000 pounds at its
joint with the underframe without exceeding the ultimate strength of the
joint;
(2) A horizontal, lateral force of 30,000 pounds applied at a point
18 inches up from the underframe attachment without exceeding the yield
or the critical buckling stress;
(3) A horizontal, longitudinal force of 50,000 pounds applied at a
point 18 inches up from the underframe attachment without exceeding the
yield or the critical buckling stress; and
(4) A horizontal, longitudinal or lateral shear load of 20,000
pounds at its joint with the roof without exceeding the ultimate
strength of the joint.
Sec. 238.415 Rollover strength.
(a) Each passenger car and power car shall be designed to rest on
its side and be uniformly supported at the top (``roof rail'') and the
bottom chords (``side sill'') of the side frame. The allowable stress in
the structural members of the occupied volumes for this condition shall
be one-half yield or one-half the critical buckling stress, whichever is
less. Minor localized deformations to the outer side skin of the
passenger car or power car is allowed provided such deformations in no
way intrude upon the occupied volume of each car.
(b) Each passenger car and power car shall also be designed to rest
on its roof so that any damage in occupied areas is limited to roof
sheathing and framing. The allowable stress in the structural members of
the occupied volumes for this condition shall be one-half yield or one-
half the critical buckling stress, whichever is less. Deformation to the
roof sheathing and framing is allowed to the extent necessary to permit
the vehicle to be supported directly on the top chords of the side
frames and end frames.
Sec. 238.417 Side loads.
(a) Each passenger car body structure shall be designed to resist an
inward transverse load of 80,000 pounds of force applied to the side
sill and 10,000 pounds of force applied to the belt rail (horizontal
members at the bottom of the window opening in the side frame).
(b) These loads shall be considered to be applied separately over
the full vertical dimension of the specified member for any distance of
8 feet in the direction of the length of the car.
(c) The allowable stress shall be the lesser of the yield stress,
except as otherwise allowed by this paragraph, or the critical buckling
stress. In calculating the stress to show compliance with this
requirement, local yielding of the side skin adjacent to the side sill
and belt rail, and local yielding of the side sill bend radii at the
crossbearer and floor-beam connections is allowed. For purposes of this
paragraph, local yielding is allowed provided the resulting deformations
in no way intrude upon the occupied volume of the car.
(d) The connections of the side frame to the roof and underframe
shall support the loads specified in this section.
Sec. 238.419 Truck-to-car-body and truck component attachment.
(a) The ultimate strength of the truck-to-car-body attachment for
each unit in a train shall be sufficient to resist without failure the
following individually applied loads: a vertical force equivalent to 2g
acting on the mass of the truck; and a force of 250,000 pounds acting in
any horizontal direction on the truck, along with the resulting vertical
reaction to this load.
(b) Each component of a truck (which include axles, wheels,
bearings, the truck-mounted brake system, suspension system components,
and any other components attached to the truck by design) shall remain
attached to the
[[Page 584]]
truck when a force equivalent to 2g acting on the mass of the component
is exerted in any direction on that component.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]
Sec. 238.421 Glazing.
(a) General. Except as provided in paragraphs (b) and (c) of this
section, each exterior window on a passenger car and a power car cab
shall comply with the requirements contained in part 223 of this
chapter.
(b) Particular end-facing exterior glazing requirements. Each end-
facing exterior window in a passenger car and a power car cab shall
also, in the orientation in which it is installed in the car:
(1) Resist the impact of a 12-pound solid steel sphere traveling (i)
at the maximum speed at which the car will operate (ii) at an impact
angle no less severe than horizontal to the car, with no penetration or
spall. An impact angle that is perpendicular (90 degrees) to the
window's surface shall be considered the most severe impact angle for
purposes of this requirement; and
(2) Demonstrate anti-spalling performance by the use of a 0.001-inch
thick aluminum witness plate, placed 12 inches from the window's surface
during all impact tests. The witness plate shall contain no marks from
spalled glazing particles after any impact test; and
(3) Be permanently marked, prior to installation, in such a manner
that the marking is clearly visible after the material has been
installed. The marking shall include:
(i) The words ``FRA TYPE IHP'' to indicate that the material has
successfully passed the testing requirements specified in this
paragraph;
(ii) The name of the manufacturer; and
(iii) The type or brand identification of the material.
(c) Passenger equipment ordered prior to May 12, 1999. Each exterior
window in passenger equipment ordered prior to May 12, 1999, may comply
with the following glazing requirements in lieu of the requirements
specified in paragraphs (a) and (b) of this section:
(1) Each end-facing exterior window shall, in the orientation in
which it is installed in the vehicle, resist the impact of a 12-pound
solid steel sphere traveling (i) at the maximum speed at which the
vehicle will operate (ii) at an impact angle no less severe than
horizontal to the vehicle, with no penetration or spall. An impact angle
that is perpendicular to the window's surface shall be considered the
most severe impact angle for purposes of this requirement.
(2) Each side-facing exterior window shall resist the impact of a:
(i) 12-pound solid steel sphere at 15 mph, at an angle of 90 degrees
to the window's surface, with no penetration or spall; and
(ii) A granite ballast stone weighing a minimum of 0.5 pounds,
traveling at 75 mph and impacting at a 90-degree angle to the window's
surface, with no penetration or spall.
(3) All exterior windows shall:
(i) Resist a single impact of a 9-mm, 147-grain bullet traveling at
an impact velocity of 900 feet per second, with no bullet penetration or
spall; and
(ii) Demonstrate anti-spalling performance by the use of a 0.002-
inch thick aluminum witness plate, placed 12 inches from the window's
surface during all impact tests. The witness plate shall contain no
marks from spalled glazing particles after any impact test; and
(iii) Be permanently marked, prior to installation, in such a manner
that the marking is clearly visible after the material has been
installed. The marking shall include:
(A) The words ``FRA TYPE IH'' for end-facing glazing or ``FRA TYPE
IIH'' for side-facing glazing, to indicate that the material has
successfully passed the testing requirements of this section;
(B) The name of the manufacturer; and
(C) The type or brand identification of the material.
(d) Glazing securement. Each exterior window on a passenger car and
a power car cab shall remain in place when subjected to:
(1) The forces due to air pressure differences caused when two
trains pass
[[Page 585]]
at the minimum separation for two adjacent tracks, while traveling in
opposite directions, each train traveling at the maximum authorized
speed; and
(2) The impact forces that the glazed window is required to resist
as specified in this section.
(e) Stenciling. Each car that is fully equipped with glazing
materials that meet the requirements of this section shall be stenciled
on an interior wall as follows: ``Fully Equipped with FRA Part 238
Glazing'' or similar words conveying that meaning, in letters at least
\3/8\ of an inch high.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]
Sec. 238.423 Fuel tanks.
(a) External fuel tanks. Each type of external fuel tank must be
approved by FRA's Associate Administrator for Safety upon a showing that
the fuel tank provides a level of safety at least equivalent to a fuel
tank that complies with the external fuel tank requirements in
Sec. 238.223(a).
(b) Internal fuel tanks. Internal fuel tanks shall comply with the
requirements specified in Sec. 238.223(b).
Sec. 238.425 Electrical system.
(a) Circuit protection. (1) The main propulsion power line shall be
protected with a lightning arrestor, automatic circuit breaker, and
overload relay. The lightning arrestor shall be run by the most direct
path possible to ground with a connection to ground of not less than No.
6 AWG. These overload protection devices shall be housed in an enclosure
designed specifically for that purpose with the arc chute vented
directly to outside air.
(2) Head end power, including trainline power distribution, shall be
provided with both overload and ground fault protection.
(3) Circuits used for purposes other than propelling the equipment
shall be connected to their power source through circuit breakers or
equivalent current-limiting devices.
(4) Each auxiliary circuit shall be provided with a circuit breaker
located as near as practical to the point of connection to the source of
power for that circuit; however, such protection may be omitted from
circuits controlling safety-critical devices.
(b) Main battery system. (1) The main batteries shall be isolated
from the cab and passenger seating areas by a non-combustible barrier.
(2) Battery chargers shall be designed to protect against
overcharging.
(3) Battery circuits shall include an emergency battery cut-off
switch to completely disconnect the energy stored in the batteries from
the load.
(4) If batteries are of the type to potentially vent explosive
gases, the batteries shall be adequately ventilated to prevent
accumulation of explosive concentrations of these gases.
(c) Power dissipation resistors. (1) Power dissipating resistors
shall be adequately ventilated to prevent overheating under worst-case
operating conditions.
(2) Power dissipation grids shall be designed and installed with
sufficient isolation to prevent combustion between resistor elements and
combustible material.
(3) Power dissipation resistor circuits shall incorporate warning or
protective devices for low ventilation air flow, over-temperature, and
short circuit failures.
(4) Resistor elements shall be electrically insulated from resistor
frames, and the frames shall be electrically insulated from the supports
that hold them.
(d) Electromagnetic interference and compatibility. (1) The
operating railroad shall ensure electromagnetic compatibility of the
safety-critical equipment systems with their environment.
Electromagnetic compatibility can be achieved through equipment design
or changes to the operating environment.
(2) The electronic equipment shall not produce electrical noise that
interferes with trainline control and communications or with wayside
signaling systems.
(3) To contain electromagnetic interference emissions, suppression
of transients shall be at the source wherever possible.
(4) Electrical and electronic systems of equipment shall be capable
of operation in the presence of external electromagnetic noise sources.
[[Page 586]]
(5) All electronic equipment shall be self-protected from damage or
improper operation, or both, due to high voltage transients and long-
term over-voltage or under-voltage conditions.
Sec. 238.427 Suspension system.
(a) General requirements. (1) Suspension systems shall be designed
to reasonably prevent wheel climb, wheel unloading, rail rollover, rail
shift, and a vehicle from overturning to ensure safe, stable performance
and ride quality. These requirements shall be met:
(i) In all operating environments, and under all track conditions
and loading conditions as determined by the operating railroad; and
(ii) At all track speeds and over all track qualities consistent
with the Track Safety Standards in part 213 of this chapter, up to the
maximum operating speed and maximum cant deficiency of the equipment.
(2) Passenger equipment shall meet the safety performance standards
for suspension systems contained in appendix C to this part, or
alternative standards providing at least equivalent safety if approved
by FRA under the provisions of Sec. 238.21.
(b) Car body accelerations. (1) A passenger car shall not operate
under conditions that result in a steady-state lateral acceleration
greater than 0.12g as measured parallel to the car floor inside the
passenger compartment. During pre-revenue service acceptance testing of
the equipment under Sec. 238.111 and Sec. 213.345 of this chapter, a
passenger car shall demonstrate that steady-state lateral acceleration
does not exceed 0.1g at the maximum intended cant deficiency.
(2) While traveling at the maximum operating speed over the intended
route, the train suspension system shall be designed to:
(i) Limit the vertical acceleration, as measured by a vertical
accelerometer mounted on the car floor, to no greater than 0.55g single
event, peak-to-peak over a one second period;
(ii) Limit lateral acceleration, as measured by a lateral
accelerometer mounted on the car floor, to no greater than 0.3g single
event, peak-to-peak over a one second period; and
(iii) Limit the combination of lateral acceleration (a<INF>L</INF>)
and vertical acceleration (a<INF>V</INF>) occurring over a one second
period as expressed by the square root of (a<INF>L</INF>\2\
+a<INF>V</INF>\2\) to no greater than 0.6g, where a<INF>L</INF> may not
exceed 0.3g and a<INF>V</INF> may not exceed 0.55g. Compliance with the
requirements of paragraph (b)(2) shall be demonstrated during the pre-
revenue service acceptance testing of the equipment required under
Sec. 238.111 and Sec. 213.345 of this chapter.
(3) For purposes of this paragraph:
(i) Car body acceleration measurements shall be processed through a
filter having a cut-off frequency of 10 Hz; and
(ii) Steady-state lateral acceleration shall be computed as the
mathematical average of the accelerations in the body of a curve,
between the spiral/curve points. In a compound curve, steady-state
lateral acceleration shall be measured separately for each curve
segment.
(c) Truck (hunting) acceleration.Each truck shall be equipped with a
permanently installed lateral accelerometer mounted on the truck frame.
The accelerometer output signals shall be processed through a filter
having a band pass of 0.5 to 10 Hz to determine if hunting oscillations
of the truck are occurring. If hunting oscillations are detected, the
train monitoring system shall provide an alarm to the operator, and the
train shall be slowed to a speed at least 5 mph less than the speed at
which the hunting oscillations stopped. For purposes of this paragraph,
hunting oscillations are considered a sustained cyclic oscillation of
the truck which is evidenced by lateral accelerations in excess of 0.4g
root mean square (mean-removed) for 2 seconds.
(d) Overheat sensors. Overheat sensors for each wheelset journal
bearing shall be provided. The sensors may be placed either onboard the
equipment or at reasonable intervals along the railroad's right-of-way.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]
Sec. 238.429 Safety appliances.
(a) Couplers. (1) The leading and the trailing ends of a semi-
permanently coupled trainset shall each be equipped with an automatic
coupler that couples
[[Page 587]]
on impact and uncouples by either activation of a traditional uncoupling
lever or some other type of uncoupling mechanism that does not require a
person to go between the equipment units.
(2) The automatic coupler and uncoupling device on the leading and
trailing ends of a semi-permanently coupled trainset may be stored
within a removable shrouded housing.
(3) If the units in a train are not semi-permanently coupled, both
ends of each unit shall be equipped with an automatic coupler that
couples on impact and uncouples by either activation of a traditional
uncoupling lever or some other type of uncoupling mechanism that does
not require a person to go between the equipment units.
(b) Hand brakes. Except as provided in paragraph (f) of this
section, Tier II trains shall be equipped with a parking or hand brake
that can be applied and released manually and that is capable of holding
the train on a 3-percent grade.
(c) Safety appliance mechanical strength and fasteners. (1) All
handrails, handholds, and sill steps shall be made of 1-inch diameter
steel pipe, \5/8\-inch thickness steel, or a material of equal or
greater mechanical strength.
(2) All safety appliances shall be securely fastened to the car body
structure with mechanical fasteners that have mechanical strength
greater than or equal to that of a \1/2\-inch diameter SAE grade steel
bolt mechanical fastener.
(i) Safety appliance mechanical fasteners shall have mechanical
strength and fatigue resistance equal to or greater than a \1/2\-inch
diameter SAE steel bolt.
(ii) Mechanical fasteners shall be installed with a positive means
to prevent unauthorized removal. Self-locking threaded fasteners do not
meet this requirement.
(iii) Mechanical fasteners shall be installed to facilitate
inspection.
(d) Handrails and handholds. Except as provided in paragraph (f) of
this section:
(1) Handrails shall be provided for passengers on both sides of all
steps used to board or depart the train.
(2) Exits on a power vehicle shall be equipped with handrails and
handholds so that crewmembers can get on and off the vehicle safely.
(3) Throughout their entire length, handrails and handholds shall be
a color that contrasts with the color of the vehicle body to which they
are fastened.
(4) The maximum distance above the top of the rail to the bottom of
vertical handrails and handholds shall be 51 inches, and the minimum
distance shall be 21 inches.
(5) Vertical handrails and handholds shall be installed to continue
to a point at least equal to the height of the top edge of the control
cab door.
(6) The minimum hand clearance distance between a vertical handrail
or handhold and the vehicle body shall be 2\1/2\ inches for the entire
length.
(7) All vertical handrails and handholds shall be securely fastened
to the vehicle body.
(8) If the length of the handrail exceeds 60 inches, it shall be
securely fastened to the power vehicle body with two fasteners at each
end.
(e) Sill steps. Except as provided in paragraph (f) of this section,
each power vehicle shall be equipped with a sill step below each
exterior door as follows:
(1) The sill step shall have a minimum cross-sectional area of \1/2\
by 3 inches;
(2) The sill step shall be made of steel or a material of equal or
greater strength and fatigue resistance;
(3) The minimum tread length of the sill step shall be 10 inches;
(4) The minimum clear depth of the sill step shall be 8 inches;
(5) The outside edge of the tread of the sill step shall be flush
with the side of the car body structure;
(6) Sill steps shall not have a vertical rise between treads
exceeding 18 inches;
(7) The lowest sill step tread shall be not more than 24, preferably
not more than 22, inches above the top of the track rail;
(8) Sill steps shall be a color that contrasts with the color of the
power vehicle body to which they are fastened;
(9) Sill steps shall be securely fastened;
[[Page 588]]
(10) At least 50 percent of the tread surface area of each sill step
shall be open space; and
(11) The portion of the tread surface area of each sill step which
is not open space and is normally contacted by the foot shall be treated
with an anti-skid material.
(f) Exceptions. (1) If the units of the equipment are semi-
permanently coupled, with uncoupling done only at maintenance
facilities, the equipment units that are not required by paragraph (a)
of this section to be equipped with automatic couplers need not be
equipped with sill steps or end or side handholds that would normally be
used to safely perform coupling and uncoupling operations.
(2) If the units of the equipment are not semi-permanently coupled,
the units shall be equipped with hand brakes, sill steps, end handholds,
and side handholds that meet the requirements contained in Sec. 231.14
of this chapter.
(3) If two trainsets are coupled to form a single train that is not
semi-permanently coupled (i.e., that is coupled by an automatic
coupler), the automatically coupled ends shall be equipped with an end
handhold that is located and installed so that an individual can safely
couple and uncouple the trainsets. The end handhold shall be not more
than 16 inches from each side of the car and shall extend the remaining
length of the end of the car. (If the equipment is designed with a
tapered nose, the side of the car shall be determined based on the outer
dimension of the tapered nose where the end handhold is attached.) The
end handhold shall also meet the mechanical strength and design
requirements contained in paragraphs (c), (d)(3), and (d)(6) of this
section. If the trainsets are semi-permanently coupled, this safety
appliance is not required.
(g) Optional safety appliances. Safety appliances installed at the
option of the railroad shall be firmly attached with mechanical
fasteners and shall meet the design and installation requirements
provided in this section.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]
Sec. 238.431 Brake system.
(a) A passenger train's brake system shall be capable of stopping
the train from its maximum operating speed within the signal spacing
existing on the track over which the train is operating under worst-case
adhesion conditions.
(b) The brake system shall be designed to allow an inspector to
determine that the brake system is functioning properly without having
to place himself or herself in a dangerous position on, under, or
between the equipment.
(c) Passenger equipment shall be provided with an emergency brake
application feature that produces an irretrievable stop, using a brake
rate consistent with prevailing adhesion, passenger safety, and brake
system thermal capacity. An emergency brake application shall be
available at any time, and shall be initiated by an unintentional
parting of the train. A means to initiate an emergency brake application
shall be provided at two locations in each unit of the train; however,
where a unit of the train is 45 feet or less in length a means to
initiate an emergency brake application need only be provided at one
location in the unit.
(d) The brake system shall be designed to prevent thermal damage to
wheels and brake discs. The operating railroad shall demonstrate through
analysis and testing that no thermal damage results to the wheels or
brake discs under conditions resulting in maximum braking effort being
exerted on the wheels or discs.
(e) The following requirements apply to blended braking systems:
(1) Loss of power or failure of the dynamic brake does not result in
exceeding the allowable stopping distance;
(2) The friction brake alone is adequate to safely stop the train
under all operating conditions;
(3) The operational status of the electric portion of the brake
system shall be displayed for the train operator in the control cab; and
(4) The operating railroad shall demonstrate through analysis and
testing the maximum operating speed for safe operation of the train
using only the friction brake portion of the blended
[[Page 589]]
brake with no thermal damage to wheels or discs.
(f) The brake system design shall allow a disabled train's pneumatic
brakes to be controlled by a conventional locomotive, during a rescue
operation, through brake pipe control alone.
(g) An independent failure-detection system shall compare brake
commands with brake system output to determine if a failure has
occurred. The failure detection system shall report brake system
failures to the automated train monitoring system.
(h) Passenger equipment shall be equipped with an adhesion control
system designed to automatically adjust the braking force on each wheel
to prevent sliding during braking. In the event of a failure of this
system to prevent wheel slide within preset parameters, a wheel slide
alarm that is visual or audible, or both, shall alert the train operator
in the cab of the controlling power car to wheel-slide conditions on any
axle of the train.
Sec. 238.433 Draft system.
(a) Leading and trailing automatic couplers of trains shall be
compatible with standard AAR couplers with no special adapters used.
(b) All passenger equipment continues to be subject to the
requirements concerning couplers and uncoupling devices contained in
Federal Statute at 49 U.S.C. chapter 203 and in FRA regulations at part
231 and Sec. 232.2 of this chapter.
Sec. 238.435 Interior fittings and surfaces.
(a) Each seat back and seat attachment in a passenger car shall be
designed to withstand, with deflection but without total failure, the
load associated with the impact into the seat back of an unrestrained
95th-percentile adult male initially seated behind the seat back, when
the floor to which the seat is attached decelerates with a triangular
crash pulse having a peak of 8g and a duration of 250 milliseconds.
(b) Each seat back in a passenger car shall include shock-absorbent
material to cushion the impact of occupants with the seat ahead of them.
(c) The ultimate strength of each seat attachment to a passenger car
body shall be sufficient to withstand the following individually applied
accelerations acting on the mass of the seat plus the mass of a seat
occupant who is a 95th-percentile adult male:
(1) Lateral: 4g; and
(2) Vertical: 4g.
(d)(1) Other interior fittings shall be attached to the passenger
car body with sufficient strength to withstand the following
individually applied accelerations acting on the mass of the fitting:
(i) Longitudinal: 8g;
(ii) Lateral: 4g; and
(iii) Vertical: 4g.
(2) Fittings that can be expected to be impacted by a person during
a collision, such as tables between facing seats, shall be designed for
the mass of the fitting plus the mass of the number of occupants who are
95th-percentile adult males that could be expected to strike the
fitting, when the floor of the passenger car decelerates with a
triangular crash pulse having a peak of 8g and a duration of 250
milliseconds.
(e) The ultimate strength of the interior fittings and equipment in
power car control cabs shall be sufficient to resist without failure
loads due to the following individually applied accelerations acting on
the mass of the fitting or equipment:
(1) Longitudinal: 12g;
(2) Lateral: 4g; and
(3) Vertical: 4g.
(f) To the extent possible, interior fittings, except seats, shall
be recessed or flush-mounted. Corners and sharp edges shall be avoided
or otherwise padded.
(g) Energy-absorbent material shall be used to pad surfaces likely
to be impacted by occupants during collisions or derailments.
(h) Luggage stowage compartments shall be enclosed, and have an
ultimate strength sufficient to resist loads due to the following
individually applied accelerations acting on the mass of the luggage
that the compartments are designed to accommodate:
(1) Longitudinal: 8g;
(2) Lateral: 4g; and
(3) Vertical: 4g.
(i) If, for purposes of showing compliance with the requirements of
this section, the strength of a seat attachment
[[Page 590]]
is to be demonstrated through sled testing, the seat structure and seat
attachment to the sled that are used in such testing must be
representative of the actual seat structure in, and seat attachment to,
the rail vehicle subject to the requirements of this section. If the
attachment strength of any other interior fitting is to be demonstrated
through sled testing, for purposes of showing compliance with the
requirements of this section, such testing shall be conducted in a
similar manner.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19992, Apr. 23, 2002]
Sec. 238.437 Emergency communication.
A means of emergency communication throughout a train shall be
provided and shall include the following:
(a) Except as further specified, transmission locations at each end
of each passenger car, adjacent to the car's end doors, and accessible
to both passengers and crewmembers without requiring the use of a tool
or other implement. If the passenger car does not exceed 45 feet in
length, or if the passenger car was ordered prior to May 12, 1999, only
one transmission location is required;
(b) Transmission locations that are clearly marked with luminescent
material;
(c) Clear and understandable operating instructions at or near each
transmission location; and
(d) Back-up power for a minimum period of 90 minutes.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19993, Apr. 23, 2002]
Sec. 238.439 Doors.
(a) Each passenger car shall have a minimum of two exterior side
doors, each door providing a minimum clear opening with dimensions of 30
inches horizontally by 74 inches vertically.
Note: The Americans with Disabilities Act (ADA) Accessibility
Specifications for Transportation Vehicles also contain requirements for
doorway clearance (See 49 CFR part 38).
(b) Each passenger car shall be equipped with a manual override
feature for each powered, exterior side door. Each manual override must
be:
(1) Capable of releasing the door to permit it to be opened, without
power, from both inside and outside the car;
(2) Located adjacent to the door which it controls; and
(3) Designed and maintained so that a person may readily access and
operate the override device from both inside and outside the car without
the use of any tool or other implement.
(c) The status of each powered, exterior side door in a passenger
car shall be displayed to the crew in the operating cab. If door
interlocks are used, the sensors used to detect train motion shall be
nominally set to operate at 3 mph.
(d) Each powered, exterior side door in a passenger car shall be
connected to an emergency back-up power system.
(e) A railroad may protect a manual override device used to open a
powered, exterior door with a cover or a screen capable of removal
without requiring the use of a tool or other implement.
(f) A passenger compartment end door (other than a door providing
access to the exterior of the trainset) shall be equipped with a kick-
out panel, pop-out window, or other similar means of egress in the event
the door will not open, or shall be so designed as to pose a negligible
probability of becoming inoperable in the event of car body distortion
following a collision or derailment.
(g) Door exits shall be marked, and instructions provided for their
use, as required by Sec. 239.107(a) of this chapter.
[64 FR 25660, May 12, 1999, as amended at 67 FR 19993, Apr. 23, 2002]
Sec. 238.441 Emergency roof entrance location.
(a) Each passenger car and power car cab shall have a minimum of one
roof hatch emergency entrance location with a minimum opening of 18
inches by 24 inches, or at least one clearly marked structural weak
point in the roof having a minimum opening of the same dimensions to
provide quick access for properly equipped emergency response personnel.
(b) Marking and instructions. [Reserved]
[[Page 591]]
Sec. 238.443 Headlights.
(a) Each power car shall be equipped with at least two headlights.
Each headlight shall produce no less than 200,000 candela. One headlight
shall be arranged to illuminate a person standing between the rails 800
feet ahead of the power car under clear weather conditions. The other
headlight shall be arranged to illuminate a person standing between the
rails 1,500 feet ahead of the power car under clear weather conditions.
(b) A power car with a headlight not in compliance with the
requirements of paragraph (a) of this section shall be moved in
accordance with the following:
(1) If one of the headlights is defective, the defect shall be
considered a non-running gear defect subject to the provisions contained
in Sec. 238.17 of this part.
(2) If both headlights are defective, the power car shall be
inspected and tagged in accordance with the requirements contained in
Sec. 238.17(c) relating to non-running gear defects. The power car may
continue to be used in passenger service only to the nearest forward
location where the repairs necessary to bring the power car into
compliance can be made or to the power car's next calendar day
mechanical inspection, whichever occurs first.
[67 FR 19993, Apr. 23, 2002]
Sec. 238.445 Automated monitoring.
(a) Each passenger train shall be equipped to monitor the
performance of the following systems or components:
(1) Reception of cab signals and train control signals;
(2) Truck hunting;
(3) Dynamic brake status;
(4) Friction brake status;
(5) Fire detection systems;
(6) Head end power status;
(7) Alerter or deadman control;
(8) Horn and bell;
(9) Wheel slide;
(10) Tilt system, if so equipped; and
(11) On-board bearing-temperature sensors, if so equipped.
(b) When any such system or component is operating outside of its
predetermined safety parameters:
(1) The train operator shall be alerted; and
(2) Immediate corrective action shall be taken, if the system or
component defect impairs the train operator's ability to safely operate
the train. Immediate corrective action includes limiting the speed of
the train.
(c) The monitoring system shall be designed with an automatic self-
test feature that notifies the train operator that the monitoring
capability is functioning correctly and alerts the train operator when a
system failure occurs.
Sec. 238.447 Train operator's controls and power car cab layout.
(a) Train operator controls in the power car cab shall be arranged
so as to minimize the chance of human error, and be comfortably within
view and within easy reach when the operator is seated in the normal
train control position.
(b) The train operator's control panel buttons, switches, levers,
knobs, and the like shall be distinguishable by sight and by touch.
(c) An alerter shall be provided in the power car cab. If not
acknowledged, the alerter shall cause a brake application to stop the
train.
(d) Power car cab information displays shall be designed with the
following characteristics:
(1) Simplicity and standardization shall be the driving criteria for
design of formats for the display of information in the cab;
(2) Essential, safety-critical information shall be displayed as a
default condition;
(3) Operator selection shall be required to display other than
default information;
(4) Cab or train control signals shall be displayed for the
operator; and
(5) Displays shall be readable from the operators's normal position
under all lighting conditions.
(e) The power car cab shall be designed so at to permit the crew to
have an effective field of view in the forward direction, as well as to
the right and left of the direction of travel to observe objects
approaching the train from either side. Field-of-view obstructions due
to required structural members shall be minimized.
[[Page 592]]
(f) Each seat provided for an employee regularly assigned to occupy
a power car cab and any floor-mounted seat in the cab shall be:
(1) Secured to the car body with an attachment having an ultimate
strength capable of withstanding the loads due to the following
individually applied accelerations acting on the combined mass of the
seat and the mass of a seat occupant who is a 95th-percentile adult
male:
(i) Longitudinal: 12g;
(ii) Lateral: 4g; and
(iii) Vertical: 4g;
(2) Designed so that all adjustments have the range necessary to
accommodate a person ranging from a 5th-percentile adult female to a
95th-percentile adult male, as persons possessing such characteristics
are specified, correcting for clothing as appropriate, in any recognized
survey after 1958 of weight, height, and other body dimensions of U.S.
adults;
(3) Equipped with lumbar support that is adjustable from the seated
position;
(4) Equipped with force-assisted, vertical-height adjustment,
operated from the seated position;
(5) Equipped with a manually reclining seat back, adjustable from
the seated position;
(6) Equipped with an adjustable headrest; and
(7) Equipped with folding, padded armrests.
(g) Sharp edges and corners shall be eliminated from the interior of
the power car cab, and interior surfaces of the cab likely to be
impacted by an employee during a collision or derailment shall be padded
with shock-absorbent material.
[[Page 593]]
Figure 1 to Subpart E of Part 238--Power Car Cab Forward End Structure
Conceptual Implementation
[GRAPHIC] [TIFF OMITTED] TR12MY99.000
[[Page 594]]
Figure 2 to Subpart E of Part 238--Power Car Cab Rear End Structure
Conceptual Implementation1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR23AP02.006
[[Page 595]]
Figure 3 to Subpart E of Part 238--Trailer Car End Structure Conceptual
Implementation1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR12MY99.002
[[Page 596]]
Figure 4 to Subpart E of Part 238--Trailer Car In-Board Vestibule End
Structure Conceptual Implementation1--to Subpart E
[GRAPHIC] [TIFF OMITTED] TR12MY99.003
Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II
Passenger Equipment
Sec. 238.501 Scope.
This subpart contains inspection, testing, and maintenance
requirements for railroad passenger equipment that operates at speeds
exceeding 125 mph but not exceeding 150 mph.
Sec. 238.503 Inspection, testing, and maintenance requirements.
(a) General. Under the procedures provided in Sec. 238.505, each
railroad shall obtain FRA approval of a written inspection, testing, and
maintenance program for Tier II passenger equipment prior to
implementation of that program and prior to commencing passenger
operations using that equipment. As further specified in this section,
the program shall describe in detail the procedures, equipment, and
other means necessary for the safe operation of the passenger equipment,
including:
(1) Inspection procedures, intervals, and criteria;
(2) Testing procedures and intervals;
(3) Scheduled preventive-maintenance intervals;
(4) Maintenance procedures;
(5) Special testing equipment or measuring devices required to
perform inspections, tests, and maintenance; and
[[Page 597]]
(6) The training, qualification, and designation of employees and
contractors to perform inspections, tests, and maintenance.
(b) Compliance. After the railroad's inspection, testing, and
maintenance program is approved by FRA under Sec. 238.505, the railroad
shall adopt the program and shall perform--
(1) The inspections and tests of power brakes and other primary
brakes as described in the program;
(2) The other inspections and tests described in the program in
accordance with the procedures and criteria that the railroad identified
as safety-critical; and
(3) The maintenance tasks described in the program in accordance
with the procedures and intervals that the railroad identified as
safety-critical.
(c) General safety inspection, testing, and maintenance procedures.
The inspection, testing, and maintenance program under paragraph (a) of
this section shall contain the railroad's written procedures to ensure
that all systems and components of in service passenger equipment are
free of any general condition that endangers the safety of the crew,
passengers, or equipment. These procedures shall protect against:
(1) A continuous accumulation of oil or grease;
(2) Improper functioning of a component;
(3) A crack, break, excessive wear, structural defect, or weakness
of a component;
(4) A leak;
(5) Use of a component or system under a condition that exceeds that
for which the component or system is designed to operate; and
(6) Insecure attachment of a component.
(d) Specific inspections. The program under paragraph (a) of this
section shall specify that all Tier II passenger equipment shall receive
thorough inspections in accordance with the following standards:
(1) Except as provided in paragraph (d)(3) of this section, the
equivalent of a Class I brake test contained in Sec. 238.313 shall be
conducted prior to a train's departure from an originating terminal and
every 1,500 miles or once each calendar day, whichever comes first, that
the train remains in continuous service.
(i) Class I equivalent brake tests shall be performed by a qualified
maintenance person.
(ii) Except as provided in Sec. 238.15(b), a railroad shall not use
or haul a Tier II passenger train in passenger service from a location
where a Class I equivalent brake test has been performed, or was
required by this part to have been performed, with less than 100 percent
operative brakes.
(2) Except as provided in paragraph (d)(3) of this section, a
complete exterior and interior mechanical inspection, in accordance with
the railroad's inspection program, shall be conducted by a qualified
maintenance person at least once during each calendar day the equipment
is used in service.
(3) Trains that miss a scheduled Class I brake test or mechanical
inspection due to a delay en route may proceed to the point where the
Class I brake test or mechanical inspection was scheduled to be
performed.
(e) Movement of trains with power brake defects. Movement of trains
with a power brake defect as defined in Sec. 238.15 (any primary brake
defect) shall be governed by Sec. 238.15.
(f) Movement of trains with other defects. The movement of a train
with a defect other than a power brake defect shall be conducted in
accordance with Sec. 238.17, with the following exceptions:
(1) The movement of a Tier II power car with a non-complying
headlight shall be conducted in accordance with Sec. 238.443(b) of this
part; and
(2) When a failure of a secondary brake on a Tier II passenger train
occurs en route, that train may remain in service until its next
scheduled calendar day Class I brake test equivalent at a speed no
greater than the maximum safe operating speed demonstrated through
analysis and testing for braking with the friction brake alone. The
brake system shall be restored to 100 percent operation before the train
departs that inspection location.
(g) Maintenance intervals. The program under paragraph (a) of this
section shall include the railroad's initial scheduled maintenance
intervals for
[[Page 598]]
Tier II equipment based on an analysis completed pursuant to the
railroad's safety plan. The maintenance interval of a safety-critical
component shall be changed only when justified by accumulated,
verifiable operating data and approved by FRA under Sec. 238.505 before
the change takes effect.
(h) Training, qualification, and designation program. The program
under paragraph (a) of this section shall describe the training,
qualification, and designation program, as defined in the training
program plan under Sec. 238.109, established by the railroad to qualify
individuals to inspect, test, and maintain the equipment.
(1) If the railroad deems it safety-critical, then only qualified
individuals shall inspect, test, and maintain the equipment.
(2) Knowledge of the procedures described in paragraph (a) of this
section shall be required to qualify an employee or contractor to
perform an inspection, testing, or maintenance task under this part.
(i) Standard procedures. The program under paragraph (a) of this
section shall include the railroad's written standard procedures for
performing all safety-critical equipment inspection, testing,
maintenance, and repair tasks necessary to ensure the safe and proper
operation of the equipment. The inspection, testing, and maintenance
program required by this section is not intended to address and should
not include procedures to address employee working conditions that arise
in the course of conducting the inspections, tests, and maintenance set
forth in the program. When reviewing the railroad's program, FRA does
not intend to review any portion of the program that relates to employee
working conditions.
(j) Annual review. The inspection, testing, and maintenance program
required by this section shall be reviewed by the railroad annually.
(k) Quality control program. Each railroad shall establish an
inspection, testing, and maintenance quality control program enforced by
railroad or contractor supervisors to reasonably ensure that
inspections, tests, and maintenance are performed in accordance with
Federal safety standards and the procedures established by the railroad.
(l) Identification of safety-critical items. In the program under
paragraph (a) of this section, the railroad shall identify all
inspection and testing procedures and criteria as well as all
maintenance intervals that the railroad deems to be safety-critical.
[64 25660, May 12, 1999, as amended at 67 FR 19994, Apr. 23, 2002]
Sec. 238.505 Program approval procedure.
(a) Submission. Not less than 90 days prior to commencing passenger
operations using Tier II passenger equipment, each railroad to which
this subpart applies shall submit for approval an inspection, testing,
and maintenance program for that equipment meeting the requirements of
this subpart with the Associate Administrator for Safety, Federal
Railroad Administration, 1120 Vermont Ave, Mail Stop 25, Washington, DC
20590. If a railroad seeks to amend an approved program, the railroad
shall file with FRA's Associate Administrator for Safety a petition for
approval of such amendment not less than 60 days prior to the proposed
effective date of the amendment. A program responsive to the
requirements of this subpart or any amendment to the program shall not
be implemented prior to FRA approval.
(1) Each program or amendment under Sec. 238.503 shall contain:
(i) The information prescribed in Sec. 238.503 for such program or
amendment;
(ii) The name, title, address, and telephone number of the primary
person to be contacted with regard to review of the program or
amendment; and
(iii) A statement affirming that the railroad has served a copy of
the program or amendment on designated representatives of railroad
employees, together with a list of the names and addresses of persons
served.
(2) Each railroad shall serve a copy of each submission to FRA on
designated representatives of railroad employees responsible for the
equipment's operation, inspection, testing, and maintenance under this
subpart.
(b) Comment. Not later than 45 days from the date of filing the
program or
[[Page 599]]
amendment, any person may comment on the program or amendment.
(1) Each comment shall set forth specifically the basis upon which
it is made, and contain a concise statement of the interest of the
commenter in the proceeding.
(2) Three copies of each comment shall be submitted to the Associate
Administrator for Safety, Federal Railroad Administration, 1120 Vermont
Ave., Mail Stop 25, Washington, DC 20590.
(3) The commenter shall certify that a copy of the comment was
served on the railroad.
(c) Approval.
(1) Within 60 days of receipt of each initial inspection, testing,
and maintenance program, FRA will conduct a formal review of the
program. FRA will then notify the primary railroad contact person and
the designated employee representatives in writing whether the
inspection, testing, and maintenance program is approved and, if not
approved, the specific points in which the program is deficient. If a
program is not approved by FRA, the railroad shall amend its program to
correct all deficiencies and resubmit its program with the required
revisions not later than 45 days prior to commencing passenger
operations.
(2) FRA will review each proposed amendment to the program within 45
days of receipt. FRA will then notify the primary railroad contact
person and the designated employee representatives in writing whether
the proposed amendment has been approved by FRA and, if not approved,
the specific points in which the proposed amendment is deficient. The
railroad shall correct any deficiencies and file the corrected amendment
prior to implementing the amendment.
(3) Following initial approval of a program or amendment, FRA may
reopen consideration of the program or amendment for cause stated.
Subpart G--Specific Safety Planning Requirements for Tier II Passenger
Equipment
Sec. 238.601 Scope.
This subpart contains specific safety planning requirements for the
operation of Tier II passenger equipment, procurement of Tier II
passenger equipment, and the introduction or major upgrade of new
technology in existing Tier II passenger equipment that affects a safety
system on such equipment.
Sec. 238.603 Safety planning requirements.
(a) Prior to commencing revenue service operation of Tier II
passenger equipment, each railroad shall prepare and execute a written
plan for the safe operation of such equipment. The plan may be combined
with any other plan required under this part. The plan shall be updated
at least every 365 days. At a minimum, the plan shall describe the
approaches and processes to:
(1) Identify all requirements necessary for the safe operation of
the equipment in its operating environment;
(2) Identify all known or potential hazards to the safe operation of
the equipment;
(3) Eliminate or reduce the risk posed by each hazard identified to
an acceptable level using a formal safety methodology such as MIL-STD-
882; and
(4) Impose operational limitations, as necessary, on the operation
of the equipment if the equipment cannot meet safety requirements.
(b) For the procurement of Tier II passenger equipment, and for each
major upgrade or introduction of new technology in existing Tier II
passenger equipment that affects a safety system on such equipment, each
railroad shall prepare and execute a written safety plan. The plan may
be combined with any other plan required under this part. The plan shall
describe the approaches and processes to:
(1) Identify all safety requirements governing the design of the
passenger equipment and its supporting systems;
(2) Evaluate the total system, including hardware, software,
testing, and support activities, to identify known or potential safety
hazards over the life cycle of the equipment;
(3) Identify safety issues during design reviews;
[[Page 600]]
(4) Eliminate or reduce the risk posed by each hazard identified to
an acceptable level using a formal safety methodology such as MIL-STD-
882;
(5) Monitor the progress in resolving safety issues, reducing
hazards, and meeting safety requirements;
(6) Develop a program of testing or analysis, or both, to
demonstrate that safety requirements have been met; and
(7) Impose operational limitations, as necessary, on the operation
of the equipment if the equipment cannot meet safety requirements.
(c) Each railroad shall maintain sufficient documentation to
demonstrate how the operation and design of its Tier II passenger
equipment complies with safety requirements or, as appropriate,
addresses safety requirements under paragraphs (a)(4) and (b)(7) of this
section. Each railroad shall maintain sufficient documentation to track
how safety issues are raised and resolved.
(d) Each railroad shall make available to FRA for inspection and
copying upon request each safety plan required by this section and any
documentation required pursuant to such plan.
[64 25660, May 12, 1999, as amended at 67 FR 19994, Apr. 23, 2002]
Appendix A to Part 238--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
SUBPART A--GENERAL
238.15 Movement of power brake defects:
(b) Improper movement from Class I or IA 5,000 7,500
brake test...............................
(c) Improper movement of en route defect.. 2,500 5,000
(2), (3) Insufficient tag or record... 1,000 2,000
(4) Failure to determine percent 2,500 5,000
operative brake......................
(d) Failure to follow operating 5,000 7,500
restrictions.............................
(e) Failure to follow restrictions for 2,500 5,000
inoperative front or rear unit...........
238.17 Movement of other than power brake
defects: \1\
(c)(4), (5) Insufficient tag or record.... 1,000 2,000
(d) Failure to inspect or improper use of 2,500 5,000
roller bearings..........................
(e) Improper movement of defective safety <SUP>(1)</SUP>
appliances...............................
238.19 Reporting and tracking defective
equipment:
(a) Failure to have reporting or tracking 7,500 11,000
system...................................
(b) Failure to retain records............. 2,000 4,000
(c) Failure to make records available..... 1,000 2,000
(d) Failure to list power brake repair 2,000 4,000
points...................................
SUBPART B--SAFETY PLANNING AND GENERAL
REQUIREMENTS
238.103 Fire protection plan/fire safety:
(a) Failure to use proper materials....... 5,000 7,500
(b) Improper certification................ 1,000 2,000
(c) Failure to consider fire safety on new 5,000 7,500
equipment................................
(d) Failure to perform fire safety 5,000 7,500
analysis.................................
(e) Failure to develop, adopt or comply 5,000 7,500
with procedures..........................
238.105 Train electronic hardware and software
safety:
(a), (b), (c) Failure to develop and 7,500 11,000
maintain hardware and software safety....
(d) Failure to include required design 5,000 7,500
features.................................
(e) Failure to comply with hardware and 5,000 7,500
software safety program..................
238.107 Inspection, testing, and maintenance
plan:
(b) Failure to develop plan............... 7,500 11,000
(b)(1)-(5) Failure of plan to address 3,000 6,000
specific item............................
(d) Failure to conduct annual review...... 5,000 7,500
238.109 Training, qualification, and
designation program:
(a) Failure to develop or adopt program... 7,500 11,000
(b)(1)-(4) Failure of plan to address 3,000 6,000
specific item............................
(b)(5)-(12) Failure to comply with 5,000 7,500
specific required provision of the
program..................................
(b)(13) Failure to maintain adequate 2,500 5,000
records..................................
238.111 Pre-revenue service acceptance testing
plan:
(a) Failure to properly test previously 7,500 11,000
used equipment...........................
(b)(1) Failure to develop plan............ 7,500 11,000
(b)(2) Failure to submit plan to FRA...... 5,000 7,500
(b)(3) Failure to comply with plan........ 5,000 7,500
(b)(4) Failure to document results of 5,000 7,500
testing..................................
(b)(5) Failure to correct safety 5,000 7,500
deficiencies or impose operating limits..
(b)(6) Failure to maintain records........ 3,000 6,000
(b)(7) Failure to obtain FRA approval..... 5,000 7,500
[[Page 601]]
238.113 Emergency window exits................ 2,500 5,000
238.115 Emergency lighting.................... 2,500 5,000
238.117 Protection against personal injury.... 2,500 5,000
238.119 Rim-stamped straight plate wheels..... 2,500 5,000
SUBPART C--SPECIFIC REQUIREMENTS FOR TIER I
EQUIPMENT
238.203 Static end strength................... 2,500 5,000
238.205 Anti-climbing mechanism............... 2,500 5,000
238.207 Link between coupling mechanism and 2,500 5,000
car body.....................................
238.209 Forward-facing end structure of 2,500 5,000
locomotives..................................
238.211 Collision posts....................... 2,500 5,000
238.213 Corner posts.......................... 2,500 5,000
238.215 Rollover strength..................... 2,500 5,000
238.217 Side structure........................ 2,500 5,000
238.219 Truck-to-car-body attachment.......... 2,500 5,000
238.221 Glazing............................... 2,500 5,000
238.223 Fuel tanks............................ 2,500 5,000
238.225 Electrical System..................... 2,500 5,000
238.227 Suspension system..................... 2,500 5,000
238.231 Brake System (a)-(g), (i)-(n)......... 2,500 5,000
(h)(1), (2) Hand or parking brake missing 5,000 7,500
or inoperative...........................
(h)(3) Hand or parking brake not applied 5,000 7,500
to hold equipment unattended on grade or
prematurely released.....................
238.233 Interior fittings and surfaces........ 2,500 7,500
238.235 Doors................................. 2,500 5,000
238.237 Automated monitoring.................. 2,500 5,000
SUBPART D--INSPECTION, TESTING, AND
MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT
238.303 Exterior mechanical inspection of
passenger equipment:
(a)(1) Failure to perform mechanical \1\ 2,000 4,000
inspection...............................
(a)(2) Failure to inspect secondary brake 2,500 5,000
system...................................
(b) Failure to perform inspection on car \1\ 2,000 4,000
added to train...........................
(c) Failure to utilize properly qualified 2,000 4,000
personnel................................
(e)(1) Products of combustion not released 2,500 5,000
outside cab..............................
(e)(2) Battery not vented or gassing 2,500 5,000
excessively..............................
(e)(3) Coupler not in proper condition.... 2,500 5,000
(e)(4) No device under drawbar pins or 2,500 5,000
connection pins..........................
(e)(5) Suspension system and spring 2,500 5,000
rigging not in proper condition..........
(e)(6) Truck not in proper condition...... 2,500 5,000
(e)(7) Side bearing not in proper 2,500 5,000
condition................................
(e)(8) Wheel not in proper condition:
(i), (iv) Flat spot(s) and shelled
spot(s):
(A) One spot 2\1/2\<gr-thn-eq> or 2,500 5,000
more but less than 3<gr-thn-eq> in
length.............................
(B) One spot 3<gr-thn-eq> or more in 5,000 7,500
length.............................
(C) Two adjoining spots each of 2,500 5,000
which is 2<gr-thn-eq> or more in
length but less than 2\1/2\<gr-thn-
eq> in length......................
(D) Two adjoining spots each of 5,000 7,500
which are at least 2<gr-thn-eq> in
length, if either spot is 2\1/
2\7<gr-thn-eq> or more in length...
(ii) Gouge or chip in flange:
(A) More than 1\1/2\<gr-thn-eq> but 2,500 5,000
less than 1\5/8\<gr-thn-eq> in
length; and more than \1/2\<gr-thn-
eq> but less than \5/8\<gr-thn-eq>
in width...........................
(B) 1\5/8\<gr-thn-eq> or more in 5,000 7,500
length and \5/8\<gr-thn-eq> or more
in width...........................
(iii) Broken rim........................ 5,000 7,500
(v) Seam in tread....................... 2,500 5,000
(vi) Flange thickness of: 2,500 5,000
(A) \7/8\<gr-thn-eq> or less but
more than..........................
(B) \13/16\<gr-thn-eq> or less...... 5,000 7,500
(vii) Tread worn hollow................. 2,500 5,000
(viii) Flange height of:
(A) 1\1/2\<gr-thn-eq> or greater but 2,500 5,000
less than 1\5/8\<gr-thn-eq>........
(B) 1\5/8\<gr-thn-eq> or more....... 5,000 7,500
(ix) Rim thickness:
(A) Less than 1<gr-thn-eq>.......... 2,500 5,000
(B) \15/16\<gr-thn-eq> or less...... 5,000 7,500
(x) Crack or break in flange, tread,
rim, plate, or hub:
(A) Crack of less than 1<gr-thn-eq>. 2,500 5,000
(B) Crack of 1<gr-thn-eq> or more... 5,000 7,500
(C) Break........................... 5,000 7,500
(xi) Loose wheel........................ 5,000 7,500
(xii) Welded wheel...................... 5,000 7,500
(e)(10) Improper grounding or insulation.. 5,000 7,500
(e)(11) Jumpers or cable connections not 2,500 5,000
in proper condition......................
[[Page 602]]
(e)(12) Door or cover plate not properly 2,500 5,000
marked...................................
(e)(13) Buffer plate not properly placed.. 2,500 5,000
(e)(14) Diaphragm not properly placed or 2,500 5,000
aligned..................................
(e)(15) Secondary braking system not in 2,500 5,000
operating mode or contains known defect..
(e)(16) Roller bearings:
(i) Overheated........................ 5,000 7,500
(ii) Cap screw loose or missing....... 2,500 5,000
(iii) Cap screw lock broken or missing 1,000 2,000
(iv) Seal loose, damaged, or leaks 2,500 5,000
lubricant............................
(g) Record of inspection:
(1), (4) Failure to maintain record of 5,000 4,000
inspection...........................
(2) Record contains insufficient 1,000 2,000
information..........................
238.305 Interior mechanical inspection of
passenger cars:
(a) Failure to perform inspection......... \1\ 1,000 2,000
(b) Failure to utilize properly qualified 1,000 2,000
personnel................................
(c)(1) Failure to protect against personal 2,500 5,000
injury...................................
(c)(2) Floors not free of condition that 2,500 5,000
creates hazard...........................
(c)(3) Access to manual door release not 2,000 4,000
in place.................................
(c)(4) Emergency equipment not in place... 1,000 2,000
(c)(5) Emergency brake valve not stenciled 2,500 5,000
or marked................................
(c)(6) Door or cover plates not properly 2,500 5,000
marked...................................
(c)(7) Safety signage not in place or 1,000 2,000
legible..................................
(c)(8) Trap door unsafe or improperly 2,500 5,000
secured..................................
(c)(9) Vestibule steps not illuminated.... 2,000 4,000
(c)(10) Door not safely operate as 2,500 5,000
intended.................................
(c)(11) Seat broken, loose, or not 2,500 5,000
properly attached........................
(e) Record of inspection:
(1), (4) Failure to maintain record of 2,000 4,000
inspection...........................
(2) Record contains insufficient 1,000 1,000
information..........................
(f) Record of inspection:
(1), (4) Failure to maintain record of 2,000 4,000
inspection...........................
(2) Record contains insufficient 1,000 2,000
information..........................
238.307 Periodic mechanical inspection of
passenger cars and unpowered vehicles:
(a) Failure to perform periodic mechanical \1\ 2,500 5,000
inspection...............................
(b) Failure to utilize properly qualified 2,500 5,000
personnel................................
(c)(1) Seat or seat attachment broken or 2,500 5,000
loose....................................
(c)(2) Luggage rack broken or loose....... 2,500 5,000
(c)(3) Bed, bunks, or restraints broken or 2,500 5,000
loose....................................
(c)(4) Emergency window exit not properly 2,500 5,000
operate..................................
(c)(5) Emergency lighting not operational. 2,500 5,000
(c)(6) Switches not in proper condition... 2,500 5,000
(c)(7) Coupler not in proper condition.... 2,500 5,000
(c)(8) Truck not equipped with securing 2,500 5,000
arrangement..............................
(c)(9) Truck center casting cracked or 5,000 7,500
broken...................................
(c)(10) General conditions endangering 2,500 5,000
crew, passengers.........................
(d) Manual door release not operate as 2,500 5,000
intended.................................
(d)(1) Seat or seat attachment broken or 2,500 5,000
loose....................................
(d)(2) Luggage rack broken or loose....... 2,500 5,000
(d)(3) Bed, bunks, or restraints broken or 2,500 5,000
loose....................................
(d)(4) Emergency window exit not properly 2,500 5,000
operate..................................
(d)(5) Coupler not in proper condition.... 2,500 5,000
(e)(1) Failure to maintain record of 2,000 4,000
inspection...............................
(i)-(iv) Record contains insufficient 1,000 2,000
information..........................
(f)(1) Record of inspection:
(i) Failure to maintain record of 2,000 4,000
inspection...........................
(ii) Record contains insufficient 1,000 2,000
information..........................
238.309 Periodic brake equipment maintenance:
(b) Failure to perform on MU locomotive... 2,500 5,000
(c) Failure to perform on conventional 2,500 5,000
locomotive...............................
(d) Failure to perform on passenger 2,500 5,000
coaches or other unpowered vehicle.......
(e) Failure to perform on cab car......... 2,500 5,000
(f) Record of periodic maintenance:
(1), (2) Failure to maintain record or 2,000 4,000
stencil..............................
238.311 Single car tests:
(a) Failure to test in accord with 2,500 5,000
required procedure.......................
(b) Failure to utilize properly qualified 2,500 5,000
personnel................................
(c), (e) Failure to perform single car 2,500 5,000
test.....................................
(f) Improper movement of car for testing.. 2,000 4,000
(g) Failure to test after repair or 2,000 4,000
replacement of component.................
238.313 Class I brake test:
(a) Failure to perform on commuter or \1\ 10,000 15,000
short distance intercity passenger train.
(b) Failure to perform on long-distance \1\ 10,000 15,000
intercity passenger train................
(c) Failure to perform on cars added to \1\ 5,000 7,500
passenger train..........................
[[Page 603]]
(d) Failure to utilized properly qualified 5,000 7,500
personnel................................
(f) Passenger train used from Class I 5,000 7,500
brake test with less than 100% operative
brakes...................................
(g) Partial failure to perform inspection 5,000 7,500
on a passenger train.....................
(3) Failure to adjust piston travel 2,500 5,000
(per car)............................
(h) Failure to maintain record............ 2,000 4,000
238.315 Class IA brake test:
(a) Failure to perform inspection......... \1\ 5,000 7,500
(d) Failure to utilize properly qualified 2,500 5,000
personnel................................
(e) Passenger train used from Class IA 5,000 7,500
brake test with improper percentage of
operative brakes.........................
(f) Partial failure to perform inspection 2,500 5,000
on passenger train.......................
238.317 Class II brake test:
(a) Failure to perform inspection......... \1\ 2,500 5,000
(b) Failure to utilize properly qualified 2,500 5,000
personnel................................
(c) Improper use of defective equipment 2,500 5,000
from Class II brake test.................
238.319 Running brake tests:
(a), (b) Failure to perform test.......... 2,000 4,000
SUBPART E--SPECIFIC REQUIREMENTS FOR TIER II
PASSENGER EQUIPMENT
238.403 Crash energy management............... 2,500 5,000
238.405 Longitudinal static compressive 2,500 5,000
strength.....................................
238.407 Anti-climbing mechanism............... 2,500 5,000
238.409 Forward end structures of power car
cabs:
(a) Center collision post................. 2,500 5,000
(b) Side collision posts.................. 2,500 5,000
(c) Corner posts.......................... 2,500 5,000
(d) Skin.................................. 2,500 5,000
238.411 Rear end structures of power car cabs:
(a) Corner posts.......................... 2,500 5,000
(b) Collision posts....................... 2,500 5,000
238.413 End structures of trailer cars........ 2,500 5,000
238.415 Rollover strength..................... 2,500 5,000
238.417 Side loads............................ 2,500 5,000
238.419 Truck-to-car-body and truck component 2,500 5,000
attachment...................................
238.421 Glazing:
(b) End-facing exterior glazing........... 2,500 5,000
(c) Alternate glazing requirements........ 2,500 5,000
(d) Glazing securement.................... 1,000 2,000
(e) Stenciling............................ 2,500 5,000
238.423 Fuel tanks:
(a) External fuel tanks................... 2,500 5,000
(b) Internal fuel tanks................... 2,500 5,000
238.425 Electrical system:
(a) Circuit protection.................... 2,500 5,000
(b) Main battery system................... 2,500 5,000
(c) Power dissipation resistors........... 2,500 5,000
(d) Electromagnetic interference and 2,500 5,000
compatibility............................
238.427 Suspension system..................... 2,500 5,000
238.429 Safety Appliances:
(a) Couplers.............................. 5,000 7,500
(b) Hand/parking brakes................... 5,000 7,500
(d) Handrail and handhold missing......... 2,500 5,000
(d)(1)-(8) Handrail or handhold 2,500 5,000
improper design......................
(e) Sill step missing..................... 5,000 7,500
(e)(1)-(11) Sill step improper design. 2,500 5,000
(g) Optional safety appliances............ 2,500 5,000
238.431 Brake system.......................... 2,500 5,000
238.433 Draft System.......................... 2,500 5,000
238.435 Interior fittings and surfaces........ 2,500 5,000
238.437 Emergency communication............... 2,500 5,000
238.439 Doors:
(a) Exterior side doors................... 2,500 5,000
(b) Manual override feature............... 2,500 5,000
(c) Notification to crew of door status... 2,500 5,000
(d) Emergency back-up power............... 2,500 5,000
(f) End door kick-out panel or pop-out 2,500 5,000
window...................................
(g) Marking and instructions.............. [Reserved]
238.441 Emergency roof hatch entrance location 2,500 5,000
238.443 Headlights............................ 2,500 5,000
238.445 Automated monitoring.................. 2,500 5,000
238.447 Train operator's controls and power 2,500 5,000
car cab layout...............................
SUBPART F--INSPECTION, TESTING, AND
MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER
EQUIPMENT
238.503 Inspection, testing, and maintenance
requirements:
[[Page 604]]
(a) Failure to develop inspection, 10,000 15,000
testing, and maintenance program or
obtain FRA approval......................
(b) Failure to comply with provisions of 5,000 7,500
the program..............................
(c) Failure to ensure equipment free of 2,500 5,000
conditions which endanger safety of crew,
passengers, or equipment.................
(d) Specific safety inspections:
(1)(i) Failure to perform Class I 10,000 15,000
brake test or equivalent.............
(1)(ii) Partial failure to perform 5,000 7,500
Class I brake test or equivalent.....
(2)(i) Failure to perform exterior \1\ 2,000 4,000
mechanical inspection................
(2)(ii) Failure to perform interior \1\ 1,000 2,000
mechanical inspection................
(g) Failure to perform scheduled 2,500 5,000
maintenance as required in program.......
(h) Failure to comply with training, 5,000 7,500
qualification and designation program....
(i) Failure to develop or comply with 2,500 5,000
standard procedures for performing
inspection, tests, and maintenance.......
(j) Failure to conduct annual review...... 5,000 7,500
(k) Failure to establish or utilize 5,000 7,500
quality control program..................
SUBPART G--SPECIFIC SAFETY PLANNING
REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT
238.603 Safety plan:
(a) Failure to develop safety operating 7,500 11,000
plan.....................................
(b) Failure to develop procurement plan... 7,500 11,000
(1)-(7) Failure to develop portion of 2,500 5,000
plan.................................
(c) Failure to maintain documentation. 2,500 5,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation Generally when two or more violations of these regulations
are discovered with respect to a single unit of passenger equipment
that is placed or continued in service by a railroad, the appropriate
penalties set forth above are aggregated up to a maximum of $10,000
per day. However, failure to perform, with respect to a particular
unit of passenger equipment, any of the inspections and tests required
under subparts D and F of this part will be treated as a violation
separate and distinct from, and in addition to, any substantive
violative conditions found on that unit of passenger equipment.
Moreover, the Administrator reserves the right to assess a penalty of
up to $22,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A. Failure to observe any condition for
movement of defective equipment set forth in Sec. 238.17 will deprive
the railroad of the benefit of the movement-for-repair provision and
make the railroad and any responsible individuals liable for penalty
under the particular regulatory section(s) concerning the substantive
defect(s) present on the unit of passenger equipment at the time of
movement Failure to observe any condition for the movement of
passenger equipment containing defective safety appliances, other than
power brakes, set forth in Sec. 238.17(e) will deprive the railroad
of the movement-for-repair provision and make the railroad and any
responsible individuals liable for penalty under the particular
regulatory section(s) contained in part 231 of this chapter or Sec.
238.429 concerning the substantive defective condition. The penalties
listed for failure to perform the exterior and interior mechanical
inspections and tests required under Sec. 238.303 and Sec. 238.305
may be assessed for each unit of passenger equipment contained in a
train that is not properly inspected Whereas, the penalties listed for
failure to perform the brake inspections and tests under Sec. 238.313
through Sec. 238.319 may be assessed for each train that is not
properly inspected.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67
FR 19994, Apr. 23, 2002]]
Appendix B to Part 238--Test Methods and Performance Criteria for the
Flammability and Smoke Emission Characteristics of Materials Used in
Passenger Cars and Locomotive Cabs
This appendix contains the test methods and performance criteria for
the flammability and smoke emission characteristics of materials used in
passenger cars and locomotive cabs, in accordance with the requirements
of Sec. 238.103.
(a) Incorporation by reference.
Certain documents are incorporated by reference into this appendix
with the approval of the Director of the Federal Register in accordance
with 5 U.S.C. 552(a) and 1 CFR part 51. You may inspect a copy of each
document during normal business hours at the Federal Railroad
Administration, Docket Clerk, 1120 Vermont Ave., N.W., Suite 7000 or at
the Office of the Federal Register, 800 North Capitol Street, N.W.,
Suite 700, Washington, D.C. The documents incorporated by reference into
this appendix and the sources from which you may obtain these documents
are listed below:
(1) American Society for Testing and Materials (ASTM), 100 Barr
Harbor Dr., West Conshohocken, PA 19428-2959.
(i) ASTM C 1166-00, Standard Test Method for Flame Propagation of
Dense and Cellular Elastomeric Gaskets and Accessories.
(ii) ASTM D 2724-87, Standard Test Methods for Bonded, Fused, and
Laminated Apparel Fabrics.
(iii) ASTM D 3574-95, Standard Test Methods for Flexible Cellular
Materials-Slab, Bonded, and Molded Urethane Foams.
(iv) ASTM D 3675-98, Standard Test Method for Surface Flammability
of Flexible Cellular Materials Using a Radiant Heat Energy Source.
(v) ASTM E 119-00a, Standard Test Methods for Fire Tests of Building
Construction and Materials.
(vi) ASTM E 162-98, Standard Test Method for Surface Flammability of
Materials Using a Radiant Heat Energy Source.
(vii) ASTM E 648-00, Standard Test Method for Critical Radiant Flux
of Floor-Covering
[[Page 605]]
Systems Using a Radiant Heat Energy Source.
(viii) ASTM E 662-01, Standard Test Method for Specific Optical
Density of Smoke Generated by Solid Materials.
(ix) ASTM E 1354-99, Standard Test Method for Heat and Visible Smoke
Release Rates for Materials and Products Using an Oxygen Consumption
Calorimeter.
(x) ASTM E 1537-99, Standard Test Method for Fire Testing of
Upholstered Furniture.
(xi) ASTM E 1590-01, Standard Test Method for Fire Testing of
Mattresses.
(2) General Services Administration, Federal Supply Service,
Specification Section, 470 E. L'Enfant Plaza, S.W., Suite 8100,
Washington, D.C., 20407. FED-STD-191A-Textile Test Method 5830, Leaching
Resistance of Cloth; Standard Method (July 20, 1978).
(3) State of California, Department of Consumer Affairs, Bureau of
Home Furnishings and Thermal Insulation, 3485 Orange Grove Avenue, North
Highlands, CA 95660-5595.
(i) California Technical Bulletin (Cal TB) 129, Flammability Test
Procedure for Mattresses for Use in Public Buildings (October, 1992).
(ii) Cal TB 133, Flammability Test Procedure for Seating Furniture
for Use in Public Occupancies (January, 1991).
(b) Definitions. As used in this appendix--
Average heat release rate (q<SUP>//</SUP><INF>180</INF>) means, as
defined in ASTM E 1354-99, the average heat release rate per unit area
in the time period beginning at the time of ignition and ending 180
seconds later.
Critical radiant flux (C.R.F.) means, as defined in ASTM E 648-00, a
measure of the behavior of horizontally-mounted floor covering systems
exposed to a flaming ignition source in a graded radiant heat energy
environment in a test chamber.
Flame spread index (I<INF>s</INF>) means, as defined in ASTM E 162-
98, a factor derived from the rate of progress of the flame front
(F<INF>s</INF>) and the rate of heat liberation by the material under
test (Q), such that I<INF>s</INF> = F<INF>s</INF> x Q.
Flaming dripping means periodic dripping of flaming material from
the site of material burning or material installation.
Flaming running means continuous flaming material leaving the site
of material burning or material installation.
Heat release rate means, as defined in ASTM E 1354-99, the heat
evolved from a specimen per unit of time.
Specific extinction area ([sigma]<INF>f</INF>) means, as defined in
ASTM E 1354-99, specific extinction area for smoke.
Specific optical density (D<INF>s</INF>) means, as defined in ASTM E
662-01, the optical density measured over unit path length within a
chamber of unit volume, produced from a specimen of unit surface area,
that is irradiated by a heat flux of 2.5 watts/cm<SUP>2</SUP> for a
specified period of time.
Surface flammability means the rate at which flames will travel
along surfaces.
(c) Required test methods and performance criteria. The materials
used in locomotive cabs and passenger cars shall be tested according to
the methods and meet the performance criteria set forth in the following
table and notes:
[[Page 606]]
[GRAPHIC] [TIFF OMITTED] TR25JN02.000
\1\ Materials tested for surface flammability shall not exhibit any
flaming running or dripping.
\2\ The ASTM E 662-01 maximum test limits for smoke emission
(specific optical density) shall be measured in either the flaming or
[[Page 607]]
non-flaming mode, utilizing the mode which generates the most smoke.
\3\ Testing of a complete seat assembly (including cushions, fabric
layers, upholstery) according to ASTM E 1537-99 using the pass/fail
criteria of Cal TB 133, and testing of a complete mattress assembly
(including foam and ticking) according to ASTM E 1590-01 using the pass/
fail criteria of Cal TB 129 shall be permitted in lieu of the test
methods prescribed herein, provided the assembly component units remain
unchanged or new (replacement) assembly components possess equivalent
fire performance properties to the original components tested. A fire
hazard analysis must also be conducted that considers the operating
environment within which the seat or mattress assembly will be used in
relation to the risk of vandalism, puncture, cutting, or other acts
which may expose the individual components of the assemblies to an
ignition source. Notes 5, 6, 7, and 8 apply.
\4\ Testing is performed without upholstery.
\5\ The surface flammability and smoke emission characteristics
shall be demonstrated to be permanent after dynamic testing according to
ASTM D 3574-95, Test I <INF>2</INF> (Dynamic Fatigue Test by the Roller
Shear at Constant Force) or Test I <INF>3</INF> (Dynamic Fatigue Test by
Constant Force Pounding) both using Procedure B, except that the test
samples shall be a minimum of 6 inches (154 mm) by 18 inches (457 mm) by
the thickness of the material in its end use configuration, or multiples
thereof. If Test I <INF>3</INF> is used, the size of the indentor
described in paragraph 96.2 shall be modified to accommodate the
specified test specimen.
\6\ The surface flammability and smoke emission characteristics
shall be demonstrated to be permanent by washing, if appropriate,
according to FED-STD-191A Textile Test Method 5830.
\7\ The surface flammability and smoke emission characteristics
shall be demonstrated to be permanent by dry-cleaning, if appropriate,
according to ASTM D 2724-87.
\8\ Materials that cannot be washed or dry-cleaned shall be so
labeled and shall meet the applicable performance criteria after being
cleaned as recommended by the manufacturer.
\9\ Signage is not required to meet any flammability or smoke
emission performance criteria specified in this Appendix.
\10\ Materials used to fabricate miscellaneous, discontinuous small
parts (such as knobs, rollers, fasteners, clips, grommets, and small
electrical parts) that will not contribute materially to fire growth in
end use configuration are exempt from flammability and smoke emission
performance requirements, provided that the surface area of any
individual small part is less than 16 square inches (100 cm<SUP>2</SUP>)
in end use configuration and an appropriate fire hazard analysis is
conducted which addresses the location and quantity of the materials
used, and the vulnerability of the materials to ignition and
contribution to flame spread.
\11\ If the surface area of any individual small part is less than
16 square inches (100 cm<SUP>2</SUP>) in end use configuration,
materials used to fabricate such a part may be tested in accordance with
ASTM E 1354-99 as an alternative to both (a) the ASTM E 162-98
flammability test procedure, or the appropriate flammability test
procedure otherwise specified in the table, and (b) the ASTM E 662-01
smoke generation test procedure. Testing shall be at 50 kW/m
<SUP>2</SUP> applied heat flux with a retainer frame. Materials tested
in accordance with ASTM E 1354-99 shall meet the following performance
criteria: average heat release rate (q<SUP>//</SUP> <INF>180</INF>) less
than or equal to 100 kW/m\2\, and average specific extinction area
([sigma]<INF>f</INF>) less than or equal to 500 m<SUP>2</SUP>/kg over
the same 180-second period.
\12\ Carpeting used as a wall or ceiling covering shall be tested
according to ASTM E 162-98 and ASTM E 662-01 and meet the respective
criteria of I <INF>s</INF> less than or equal to 35 and D <INF>s</INF>
(1.5) less than or equal to 100 and D <INF>s</INF> (4.0) less than or
equal to 200. Notes 1 and 2 apply.
\13\ Floor covering shall be tested with padding in accordance with
ASTM E 648-00, if the padding is used in the actual installation.
\14\ For double window glazing, only the interior glazing is
required to meet the requirements specified herein. (The exterior
glazing is not required to meet these requirements.)
\15\ Penetrations (ducts, etc.) shall be designed against acting as
passageways for fire and smoke and representative penetrations shall be
included as part of test assemblies.
\16\ A structural flooring assembly separating the interior of a
vehicle from its undercarriage shall meet the performance criteria
during a nominal test period as determined by the railroad. The nominal
test period must be twice the maximum expected time period under normal
circumstances for a vehicle to stop completely and safely from its
maximum operating speed, plus the time necessary to evacuate all the
vehicle's occupants to a safe area. The nominal test period must not be
less than 15 minutes. Only one specimen need be tested. A proportional
reduction may be made in the dimensions of the specimen provided it
serves to truly test the ability of the structural flooring assembly to
perform as a barrier against under-vehicle fires. The fire resistance
period required shall be consistent with the safe evacuation of a full
load of passengers from the vehicle under worst-case conditions.
\17\ Portions of the vehicle body which separate major ignition
sources, energy sources, or sources of fuel-load from vehicle interiors,
shall have sufficient fire endurance as determined by a fire hazard
analysis acceptable to
[[Page 608]]
the railroad which addresses the location and quantity of the materials
used, as well as vulnerability of the materials to ignition, flame
spread, and smoke generation. These portions include equipment carrying
portions of a vehicle's roof and the interior structure separating the
levels of a bi-level car, but do not include a flooring assembly subject
to Note 16. A railroad is not required to use the ASTM E 119-00a test
method.
[67 FR 42910, June 25, 2002]
Appendix C to Part 238--Suspension System Safety Performance Standards
This appendix contains the minimum suspension system safety
performance standards for Tier II passenger equipment as required by
Sec. 238.427. These requirements shall be the basis for evaluating
suspension system safety performance until an industry standard
acceptable to FRA is developed and approved under the procedures
provided in Sec. 238.21.
(a) Passenger equipment suspension systems shall be designed to
limit the lateral and vertical forces and lateral to vertical (L/V)
ratios, for the time duration required to travel five feet at any
operating speed or over any class of track, under all operating
conditions as determined by the railroad, as follows:
(1) The maximum single wheel lateral to vertical force (L/V) ratio
shall not exceed Nadal's limit as follows:
[GRAPHIC] [TIFF OMITTED] TR12MY99.005
where: [delta]=flange angle (deg).
[mu]=coefficient of friction of 0.5.
(2) The net axle lateral force shall not exceed 0.5 times the static
vertical axle load.
(3) The vertical wheel/rail force shall not be less than or equal to
10 percent of the static vertical wheel load.
(4) The sum of the vertical wheel loads on one side of any truck
shall not be less than or equal to 20 percent of the static vertical
axle load. This shall include the effect of a crosswind allowance as
specified by the railroad for the intended service.
(5) The maximum truck side L/V ratio shall not exceed 0.6.
(6) When stopped on track with a uniform 6-inch superelevation,
vertical wheel loads, at all wheels, shall not be less than or equal to
60 percent of the nominal vertical wheel load on level track.
(b) For purposes of this appendix, wheel/rail force measurements
shall be processed through a low pass filter having a cut-off frequency
of 25 Hz.
Appendix D to Part 238--Requirements for External Fuel Tanks on Tier I
Locomotives
The requirements contained in this appendix are intended to address
the structural and puncture resistance properties of the locomotive fuel
tank to reduce the risk of fuel spillage to acceptable levels under
derailment and minor collision conditions.
(a) Structural strength.
(1) Load case 1--minor derailment. The end plate of the fuel tank
shall support a sudden loading of one-half the weight of the car body at
a vertical acceleration of 2g, without exceeding the ultimate strength
of the material. The load is assumed to be supported on one rail, within
an eight inch band (plus or minus) at a point nominally above the head
of the rail, on tangent track. Consideration should be given in the
design of the fuel tank to maximize the vertical clearance between the
top of the rail and the bottom of the fuel tank.
(2) Load case 2--jackknifed locomotive. The fuel tank shall support
transversely at the center a sudden loading equivalent to one half the
weight of the locomotive at a vertical acceleration of 2g, without
exceeding the ultimate strength of the material. The load is assumed to
be supported on one rail, distributed between the longitudinal center
line and the edge of the tank bottom, with a rail head surface of two
inches.
(3) Load case 3--side impact. In a side impact collision by an
80,000 pound Gross Vehicle Weight tractor/trailer at the longitudinal
center of the fuel tank, the fuel tank shall withstand, without
exceeding the ultimate strength, a 200,000 pound load (2.5g) distributed
over an area of six inches by forty-eight inches (half the bumper area)
at a height of thirty inches above the rail (standard DOT bumper
height).
(4) Load case 4--penetration resistance. The minimum thickness of
the sides, bottom sheet and end plates of the fuel tank shall be
equivalent to a \5/16\-inch steel plate with a 25,000 pounds-per-square-
inch yield strength (where the thickness varies inversely with the
square root of yield strength). The lower one third of the end plates
shall have the equivalent penetration resistance by the above method of
a \3/4\-inch steel plate with a 25,000 pounds-per-square-inch yield
strength. This may be accomplished by any combination of materials or
other mechanical protection.
(b) Sideswipe. To minimize fuel tank damage during sideswipes
(railroad vehicles and grade crossings), all drain plugs, clean-out
ports, inspection covers, sight glasses, gauge openings, etc., must be
flush with the tank surface or adequately protected to avoid catching
foreign objects or breakage. All seams must be protected or flush to
avoid catching foreign objects.
[[Page 609]]
(c) Spill controls. Vents and fills shall be designed to avert
spillage of fuel in the event of a roll over.
Appendix E to Part 238--General Principles of Reliability-Based
Maintenance Programs
(a) Any maintenance program has the following four basic objectives:
(1) To ensure realization of the design level of safety and
reliability of the equipment;
(2) To restore safety and reliability to their design levels when
deterioration has occurred;
(3) To obtain the information necessary for design improvements of
those items whose design reliability proves inadequate; and
(4) To accomplish these goals at a minimum total cost, including
maintenance costs and the costs of residual failures.
(b) Reliability-based maintenance programs are based on the
following general principles. A failure is an unsatisfactory condition.
There are two types of failures: functional and potential. Functional
failures are usually reported by operating crews. Conversely,
maintenance crews usually discover potential failures. A potential
failure is an identifiable physical condition, which indicates that a
functional failure is imminent. The consequences of a functional failure
determine the priority of a maintenance effort. These consequences fall
into the following general categories:
(1) Safety consequences, involving possible loss of the equipment
and its occupants;
(2) Operational consequences, which involve an indirect economic
loss as well as the direct cost of repair;
(3) Non-operational consequences, which involve only the direct cost
of repair; or
(4) Hidden failure consequences, which involve exposure to a
possible multiple failure as a result of the undetected failure of a
hidden function.
(c) In a reliability-based maintenance program, scheduled
maintenance is required for any item whose loss of function or mode of
failure could have safety consequences. If preventative tasks cannot
reduce the risk of such failures to an acceptable level, the item
requires redesign to alter its failure consequences. Scheduled
maintenance is also required for any item whose functional failure will
not be evident to the operating crew, and therefore reported for
corrective action. In all other cases the consequences of failure are
economic, and maintenance tasks directed at preventing such failures
must be justified on economic grounds. All failure consequences,
including economic consequences, are established by the design
characteristics of the equipment and can be altered only by basic
changes in the design. Safety consequences can, in nearly all cases, be
reduced to economic consequences by the use of redundancy. Hidden
functions can usually be made evident by instrumentation or other design
features. The feasibility and cost effectiveness of scheduled
maintenance depend on the inspectablility of the component, and the cost
of corrective maintenance depends on its failure modes and design
reliability.
(d) The design reliability of equipment or components will only be
achieved with an effective maintenance program. This level of
reliability is established by the design of each component and the
manufacturing processes that produced it. Scheduled maintenance can
ensure that design reliability of each component is achieved, but
maintenance alone cannot yield a level of reliability beyond the design
reliability.
(e) When a maintenance program is developed, it includes tasks that
satisfy the criteria for both applicability and effectiveness. The
applicability of a task is determined by the characteristics of the
component or equipment to be maintained. The effectiveness is stated in
terms of the consequences that the task is designed to prevent. The
basics types of tasks that are performed by maintenance personnel are
each applicable under a unique set of conditions. Tasks may be directed
at preventing functional failures or preventing a failure event
consisting of the sequential occurrence of two or more independent
failures which may have consequences that would not be produced by any
of the failures occurring separately. The task types include:
(1) Inspections of an item to find and correct any potential
failures;
(2) Rework/remanufacture/overhaul of an item at or before some
specified time or age limit;
(3) Discard of an item (or parts of it) at or before some specified
life limit; and
(4) Failure finding inspections of a hidden-function item to find
and correct functional failures that have already occurred but were not
evident to the operating crew.
(b) Components or systems in a reliability-based maintenance program
may be defined as simple or complex. A simple component or system is one
that is subject to only one or a very few failure modes. This type of
component or system frequently shows decreasing reliability with
increasing operating age. An age/time limit may be used to reduce the
overall failure rate of simple components or systems. Here, safe-life
limits, fail-safe designs, or damage tolerance-based residual life
calculations may be imposed on a single component or system to play a
crucial role in controlling critical failures. Complex components or
systems are ones whose functional failure may result from many different
failure modes and show little or no decrease in overall reliability with
increasing age unless there is a dominant failure mode. Therefore, age
limits imposed on complex
[[Page 610]]
components or systems have little or no effect on their overall failure
rates.
(g) When planning the maintenance of a component or system to
protect the safety and operating capability of the equipment, a number
of items must be considered in the reliability assessment process:
(1) The consequences of each type of functional failure;
(2) The visibility of a functional failure to the operating crew
(evidence that a failure has occurred);
(3) The visibility of reduced resistance to failure (evidence that a
failure is imminent);
(4) The age-reliability characteristics of each item;
(5) The economic tradeoff between the cost of scheduled maintenance
and the benefits to be derived from it;
(6) A multiple failure, resulting from a sequence of independent
failures, may have consequences that would not be caused by any one of
the individual failures alone. These consequences are taken into account
in the definition of the failure consequences for the first failure; and
(7) A default strategy governs decision making in the absence of
full information or agreement. This strategy provides for conservative
initial decisions, to be revised on the basis of information derived
from operating experience.
(h) A successful reliability-based maintenance program must be
dynamic. Any prior-to-service program is based on limited information.
As such, the operating organization must be prepared to collect and
respond to real data throughout the operating life of the equipment.
Management of the ongoing maintenance program requires an organized
information system for surveillance and analysis of the performance of
each item under actual operating conditions. This information is needed
to determine the refinements and modifications to be made in the initial
maintenance program (including the adjustment of task intervals) and to
determine the need for product improvement. The information derived from
operating experience may be considered to have the following hierarchy
of importance in the reliability-based maintenance program:
(1) Failures that could affect operating safety;
(2) Failures that have operational consequences;
(3) The failure modes of units removed as a result of failures;
(4) The general condition of unfailed parts in units that have
failed; and
(5) The general condition of serviceable units inspected as samples.
(i) At the time an initial maintenance program is developed,
information is usually available to determine the tasks necessary to
protect safety and operating capability. However, the information
required to determine optimum task intervals and the applicability of
age or life limits can be obtained only from age or life exploration
after the equipment enters service. With any new equipment there is
always the possibility of unanticipated failure modes. The first
occurrence of any serious unanticipated failure should immediately set
into motion the following improvement cycle:
(1) An inspection task is developed to prevent recurrences while the
item is being redesigned;
(2) The operating fleet is modified to incorporate the redesigned
part; and
(3) After the modification has proved successful, the special
inspection task is eliminated from the maintenance program.
(j) Component improvements based on identification of the actual
reliability characteristics of each item through age or life
exploration, is part of the normal development cycle of all complex
equipment.